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 |
|---|---|---|---|---|---|---|---|---|
| David William Vela | 1984682 | 3 | 01/01/2011 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Albert Hartung | 1343287 | 2 | 07/30/2010 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Edward J Murray | 2176196 | 3 | 02/10/2010 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Lizabeth Reynolds | 1991546 | 1 | 01/20/2010 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| John Ray Turbeville | 833999 | 4 | 05/07/2009 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Jason Lee-Karl Beckett | 3186927 | 3 | 12/12/2008 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Lawrence Burdett Smith | 1402080 | 4 | 10/30/2008 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Lloyd Shigeto Yamada | 3152925 | 1 | 10/23/2008 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Bernerd Franklin Kurit | 276779 | 3 | 07/14/2008 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Bernerd Franklin Kurit | 276779 | 3 | 06/24/2008 | Investigation | $0.00 | $0.00 | See FINRA Report |