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 |
|---|---|---|---|---|---|---|---|---|
| Michael Sheldon Smith | 1053913 | 1 | 05/01/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Mitchell | 1292487 | 8 | 05/01/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Edward Heather | 5996909 | 3 | 04/30/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paul Adrien Brule | 1146079 | 8 | 04/29/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nancy Rae Wickham | 2236960 | 4 | 04/18/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Mitchell | 1292487 | 8 | 04/07/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tricia A Baxley | 2438407 | 1 | 04/01/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Steen Kuehl | 1998178 | 12 | 03/31/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kristin Lynn Dougherty | 4091170 | 1 | 03/27/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Thomas Haller | 3208653 | 1 | 03/25/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |