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 |
|---|---|---|---|---|---|---|---|---|
| Thomas W Alison | 3005 | 35 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas W Alison | 3005 | 35 | 11/30/-0001 | Customer Dispute | Settled | $13,780.20 | $0.00 | See FINRA Report |
| Thomas W Alison | 3005 | 35 | 11/30/-0001 | Customer Dispute | Settled | $33,217.10 | $0.00 | See FINRA Report |
| Thomas W Alison | 3005 | 35 | 11/30/-0001 | Customer Dispute | Settled | $33,000.00 | $0.00 | See FINRA Report |
| Thomas W Alison | 3005 | 35 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Warren Kirk Hayes | 240599 | 4 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $103,796.00 | See FINRA Report |
| Mark E Carr | 1078286 | 1 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Arthur Raymond Randall | 1246969 | 2 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Alan Stone | 437398 | 1 | 11/30/-0001 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Henry Thompson Donaldson | 69889 | 3 | 11/30/-0001 | Customer Dispute | Final | $0.00 | $0.00 | See FINRA Report |