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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Maxwell Sherline | 2212153 | 6 | 11/05/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Marleen Achong | 2290483 | 1 | 11/05/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Robert Whittington | 1098629 | 3 | 11/04/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Quinn | 1134161 | 1 | 11/04/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dwarka Persaud | 1396880 | 12 | 11/04/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Warren Cleavenger | 2189421 | 1 | 11/03/1997 | Customer Dispute | Denied | $10,900.00 | $0.00 | See FINRA Report |
| Andrew George Rounsavelle Carter | 2189425 | 1 | 11/03/1997 | Customer Dispute | Denied | $10,900.00 | $0.00 | See FINRA Report |
| Benjamin Edward Davis | 1086581 | 7 | 11/01/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Chris Taylor Bettencourt | 2398948 | 1 | 11/01/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Donald Dzamba | 2518102 | 1 | 10/31/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |