Our Staff has compiled our research into a database of FINRA Broker Disclosures. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Richard Dunlap Lownes | 828030 | 3 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Lee Rowe | 1010502 | 4 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alan Arthur Schroder | 801763 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $200,000.00 | $200,000.00 | See FINRA Report |
| William Clifford Knochel | 1342201 | 2 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Joseph Karpinsky | 1745643 | 5 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Neil Alan Fox | 212289 | 4 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $12,000.00 | See FINRA Report |
| Harvey Jack Markzon | 320299 | 1 | 11/30/-0001 | Customer Dispute | Settled | $46,770.00 | $0.00 | See FINRA Report |
| George E Smith | 816961 | 5 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Patrick Downs | 860018 | 5 | 11/30/-0001 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Loretta Ray Rivers | 711411 | 13 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |