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 Lowell Goldman | 224369 | 3 | 11/30/-0001 | Customer Dispute | Award / Judgment | $27,000.00 | $20,000.00 | See FINRA Report |
| Holly Lee Hendrix | 836958 | 10 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $3,000.00 | See FINRA Report |
| Holly Lee Hendrix | 836958 | 10 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Holly Lee Hendrix | 836958 | 10 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Curtis Patrick Norris | 349209 | 1 | 11/30/-0001 | Customer Dispute | Settled | $315,292.00 | $0.00 | See FINRA Report |
| Joel R Wohl | 704995 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $16,438.30 | See FINRA Report |
| Helen A Wathen | 708100 | 2 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $7,500.00 | See FINRA Report |
| Mark Steven Gardner | 832102 | 11 | 11/30/-0001 | Customer Dispute | Settled | $40,500.00 | $0.00 | See FINRA Report |
| Michael Richard Mauskopf | 1685659 | 5 | 11/30/-0001 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Gregory William Gardner | 217720 | 5 | 11/30/-0001 | Customer Dispute | Settled | $24,000.00 | $0.00 | See FINRA Report |