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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Robert Collins | 4729357 | 4 | 09/25/2014 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Steven Edward Hutek | 1843942 | 5 | 09/25/2014 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Lee Dana Weiss | 2270372 | 9 | 09/18/2014 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Arlen Ray Blackwell | 3144100 | 4 | 09/17/2014 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| David Keith Miller | 728491 | 4 | 09/02/2014 | Customer Dispute | Pending | $79,000.00 | $0.00 | See FINRA Report |
| Doel Rafael Garciaromero | 1301785 | 95 | 08/19/2014 | Customer Dispute | Pending | $2,946,280.00 | $0.00 | See FINRA Report |
| Gregory Gonzalez | 4532694 | 3 | 08/18/2014 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| James Joseph Waters | 459785 | 8 | 08/15/2014 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Lindsay Gregg Thomson | 2984060 | 20 | 08/14/2014 | Customer Dispute | Pending | $22,000.00 | $0.00 | See FINRA Report |
| Melvyn K Reeves | 3113203 | 1 | 08/13/2014 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |