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 |
|---|---|---|---|---|---|---|---|---|
| Garner Allen Mabry | 3276730 | 2 | 09/24/2018 | Customer Dispute | Dismissed | $4,821,830.00 | $0.00 | See FINRA Report |
| Neil Stanley Kaplan | 1615516 | 2 | 01/04/2018 | Customer Dispute | Dismissed | $420,000.00 | $0.00 | See FINRA Report |
| Edward Patrick Flynn | 1914535 | 2 | 10/10/2017 | Customer Dispute | Dismissed | $40,489.00 | $0.00 | See FINRA Report |
| Donald Edgar Bates | 2612645 | 1 | 08/07/2017 | Customer Dispute | Dismissed | $460,000.00 | $0.00 | See FINRA Report |
| Doel Rafael Garciaromero | 1301785 | 95 | 06/08/2017 | Customer Dispute | Dismissed | $6,977,170.00 | $0.00 | See FINRA Report |
| Gregory Ray Powell | 1289962 | 5 | 03/27/2017 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| Theodore Michael Altholz | 831551 | 1 | 03/17/2017 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| Billy Floyd Sims | 1548924 | 2 | 02/13/2017 | Customer Dispute | Dismissed | $164,425.00 | $0.00 | See FINRA Report |
| Richard Martin Feldman | 205941 | 5 | 10/21/2016 | Customer Dispute | Dismissed | $3,677,820.00 | $0.00 | See FINRA Report |
| John Conrad Buser | 1678723 | 8 | 10/18/2016 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |