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 |
|---|---|---|---|---|---|---|---|---|
| Charles Monroe Garrison | 4258157 | 1 | 10/23/2013 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Stephen Jay Dybwad | 2324492 | 3 | 10/17/2013 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Robert Duane Terry | 1334695 | 5 | 10/17/2013 | Customer Dispute | Pending | $650,000.00 | $0.00 | See FINRA Report |
| Alfred Kai Kwong Chan | 4473594 | 5 | 10/16/2013 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Theodore William Walls | 4198416 | 2 | 10/11/2013 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Theodore William Walls | 4198416 | 2 | 10/11/2013 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Dean Bayliss | 3274327 | 6 | 10/10/2013 | Customer Dispute | Pending | $10,001.00 | $0.00 | See FINRA Report |
| Joseph Charles Damsker | 2945474 | 9 | 10/01/2013 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Troy Allen Neff | 2108729 | 9 | 09/26/2013 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| James Kent Smith | 1399716 | 1 | 09/25/2013 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |