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 Lee Roberson | 4580970 | 4 | 03/16/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bradley Joseph Johnson | 1755666 | 1 | 03/15/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Albert | 2455474 | 1 | 03/14/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Quintus Earl Webb | 1901859 | 3 | 03/09/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Andrew Lee | 2768039 | 7 | 03/08/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Aaron Finney | 1793753 | 1 | 03/04/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Phillip Whaley | 1161113 | 4 | 02/28/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary Charles Ringen | 1549795 | 16 | 02/23/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary Charles Ringen | 1549795 | 16 | 02/17/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ruth Esther Burbach | 2308658 | 2 | 02/15/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |