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 |
|---|---|---|---|---|---|---|---|---|
| Steven Frederick McNeilly | 5614719 | 1 | 07/05/2024 | Customer Dispute | Pending | $450,000.00 | $0.00 | See FINRA Report |
| T S Thompson | 2588490 | 20 | 07/05/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Tinh Trong Vu | 6316398 | 1 | 07/05/2024 | Customer Dispute | Pending | $176,200.00 | $0.00 | See FINRA Report |
| Marcial A Vargas | 5953263 | 1 | 07/04/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Edwin Magruder | 4579211 | 3 | 07/03/2024 | Customer Dispute | Pending | $175,000.00 | $0.00 | See FINRA Report |
| Derrick Timothy Watts | 2479608 | 8 | 07/03/2024 | Customer Dispute | Pending | $3,000,000.00 | $0.00 | See FINRA Report |
| Larry Richard Hancock | 1514911 | 3 | 07/03/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Heath Gary Goldstein | 2147679 | 15 | 07/03/2024 | Customer Dispute | Pending | $25,000.00 | $0.00 | See FINRA Report |
| Alan Duane Douglass | 1619835 | 7 | 07/03/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Christopher Daniel Tully | 870889 | 2 | 07/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |