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 Alan Fredrickson | 5637022 | 1 | 05/20/2024 | Customer Dispute | Settled | $7,320.00 | $0.00 | See FINRA Report |
| Alan Bartlett Harrison | 1616987 | 2 | 05/20/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Trent Robert White | 5592137 | 1 | 05/19/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Torian D Mitchell | 6320029 | 1 | 05/18/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Meredith Anne Lyon | 6021833 | 1 | 05/17/2024 | Customer Dispute | Settled | $99,999.00 | $0.00 | See FINRA Report |
| John David Pittman | 723742 | 1 | 05/17/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Connor A Day | 7126514 | 1 | 05/17/2024 | Customer Dispute | Settled | $20,345.30 | $0.00 | See FINRA Report |
| Charles Russell Hawes | 4190938 | 2 | 05/17/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Joseph Stossel | 1976055 | 1 | 05/17/2024 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| Nabil Bouab | 4340284 | 8 | 05/17/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |