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 |
|---|---|---|---|---|---|---|---|---|
| Jeff Vance James | 1006072 | 1 | 09/25/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Craig Richard Ross | 1257087 | 1 | 09/24/1998 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Mark Allen Livingston | 1035655 | 1 | 09/23/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Conrad Butler Richards | 724554 | 1 | 09/22/1998 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Stephen Scott Sherman | 1097291 | 1 | 09/22/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Trent Ridd | 1141982 | 1 | 09/22/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Terrance Kent Meek | 1476401 | 5 | 09/22/1998 | Customer Dispute | Denied | $6,208.27 | $0.00 | See FINRA Report |
| Robert Alan Harmelin | 237238 | 2 | 09/21/1998 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Thomas Ray Mills | 336059 | 2 | 09/21/1998 | Customer Dispute | Denied | $27,366.90 | $0.00 | See FINRA Report |
| John Thomas Shadden | 1898402 | 1 | 09/20/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |