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 |
|---|---|---|---|---|---|---|---|---|
| James Jeffrey Auxier | 1085665 | 2 | 10/26/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| L. Gary Gary Tipton | 1196049 | 3 | 10/26/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Susan Hillary Jacobs | 1860979 | 1 | 10/26/1998 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Christian Hax McCullough | 1551857 | 1 | 10/26/1998 | Customer Dispute | Denied | $714,227.00 | $0.00 | See FINRA Report |
| Allan Dean Yarkin | 809579 | 6 | 10/26/1998 | Customer Dispute | Denied | $43,144.00 | $0.00 | See FINRA Report |
| Brian Howard Smith | 1988943 | 1 | 10/26/1998 | Customer Dispute | Denied | $8,368.80 | $0.00 | See FINRA Report |
| Fred Steven Rosenfeld | 2748798 | 2 | 10/23/1998 | Customer Dispute | Denied | $11,897.00 | $0.00 | See FINRA Report |
| Timothy Lawrence Barna | 2167246 | 3 | 10/23/1998 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| John James Pescatore | 2183696 | 2 | 10/23/1998 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Edward Guy Robson | 1200160 | 1 | 10/22/1998 | Customer Dispute | Denied | $29,375.00 | $0.00 | See FINRA Report |