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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Richard Smith | 5824412 | 1 | 03/14/2014 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Kadair | 5453058 | 4 | 03/10/2014 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Gordon Leslie Hook | 4298674 | 1 | 03/07/2014 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Ted Charles Ginsberg | 1622725 | 13 | 03/06/2014 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael David Jabick | 4999753 | 1 | 02/18/2014 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Richard Hampton Scurlock | 3172045 | 5 | 02/14/2014 | Customer Dispute | Pending | $339,043.00 | $0.00 | See FINRA Report |
| Luis Roberto Fernandez Diaz | 3036499 | 62 | 02/10/2014 | Customer Dispute | Pending | $47,252.00 | $0.00 | See FINRA Report |
| Marla Jo Stewart | 2026854 | 1 | 02/10/2014 | Customer Dispute | Pending | $75,816.00 | $0.00 | See FINRA Report |
| Douglas Allen Becker | 2243437 | 3 | 02/03/2014 | Customer Dispute | Pending | $525,000.00 | $0.00 | See FINRA Report |
| Matthew Todd Flynn | 2285454 | 3 | 02/03/2014 | Customer Dispute | Pending | $275,000.00 | $0.00 | See FINRA Report |