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 Scott Lutes | 5992892 | 1 | 06/13/2013 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| John Richard Thomas | 4627816 | 1 | 06/12/2013 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jason Andrew Schall | 2776269 | 5 | 06/11/2013 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jon Westfall Courtney | 4705452 | 2 | 05/30/2013 | Customer Dispute | Pending | $350,000.00 | $0.00 | See FINRA Report |
| Gregory Scott Paul | 1300697 | 10 | 05/22/2013 | Customer Dispute | Pending | $3,500,000.00 | $0.00 | See FINRA Report |
| Walter Jefferson Rountree | 4410721 | 2 | 05/17/2013 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Tracy Howell Hudson | 2086600 | 2 | 05/17/2013 | Customer Dispute | Pending | $40,605.00 | $0.00 | See FINRA Report |
| Frances Ann Felich | 2143509 | 1 | 05/17/2013 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Daniel Andrew Vise | 3140821 | 8 | 05/02/2013 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Martin William Pernoll | 2094844 | 4 | 05/01/2013 | Customer Dispute | Pending | $109,000.00 | $0.00 | See FINRA Report |