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 |
|---|---|---|---|---|---|---|---|---|
| Erryn Michael Barkett | 4102279 | 6 | 07/16/2015 | Customer Dispute | Dismissed | $78,000.00 | $0.00 | See FINRA Report |
| Matthew Richard Harp | 3278463 | 1 | 05/18/2015 | Customer Dispute | Dismissed | $885,000.00 | $0.00 | See FINRA Report |
| Steven Ricciardi | 1950375 | 1 | 05/08/2015 | Customer Dispute | Dismissed | $1,000,000.00 | $0.00 | See FINRA Report |
| Christopher Anthony Fernan | 5896584 | 13 | 02/04/2015 | Customer Dispute | Dismissed | $72,000.00 | $0.00 | See FINRA Report |
| William Mark Yawn | 1192907 | 4 | 12/01/2014 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| Joe Edward Birkinbine | 2691590 | 15 | 05/29/2014 | Customer Dispute | Dismissed | $25,000.00 | $0.00 | See FINRA Report |
| Kirtland Gordon Smith | 1032104 | 1 | 05/20/2014 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| Miguel Antonio Ferrer | 206781 | 5 | 05/12/2014 | Customer Dispute | Dismissed | $5,000.00 | $0.00 | See FINRA Report |
| William Daniel Loucks | 1484716 | 2 | 03/18/2014 | Customer Dispute | Dismissed | $61,185.20 | $0.00 | See FINRA Report |
| James Arthur Steinbrenner | 1225845 | 3 | 02/21/2014 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |