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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Christopher Henning | 2878734 | 2 | 03/03/2005 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| Andrew Johnston Martin | 2010472 | 6 | 02/15/2005 | Customer Dispute | Dismissed | $14,678.00 | $0.00 | See FINRA Report |
| Chad Gerald Molitor | 2763484 | 2 | 09/28/2004 | Customer Dispute | Dismissed | $338,000.00 | $0.00 | See FINRA Report |
| Roy Neal | 1248515 | 5 | 09/14/2004 | Customer Dispute | Dismissed | $32,670.30 | $0.00 | See FINRA Report |
| Juan Manuel Ortega | 2302430 | 2 | 08/11/2004 | Customer Dispute | Dismissed | $200,000.00 | $0.00 | See FINRA Report |
| William Drake Rutherford | 1741877 | 2 | 07/01/2004 | Customer Dispute | Dismissed | $750,000.00 | $0.00 | See FINRA Report |
| Kenneth Dwain Graves | 1976686 | 1 | 04/09/2004 | Customer Dispute | Dismissed | $54,817.60 | $0.00 | See FINRA Report |
| Darrell Thomas Reed | 1828585 | 1 | 03/29/2004 | Customer Dispute | Dismissed | $15,000.00 | $0.00 | See FINRA Report |
| Mari Baumgarten Adam | 2522739 | 1 | 03/25/2004 | Customer Dispute | Dismissed | $100,000.00 | $0.00 | See FINRA Report |
| James Michael Hard | 236707 | 2 | 10/18/2003 | Customer Dispute | Dismissed | $75,000.00 | $0.00 | See FINRA Report |