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 |
|---|---|---|---|---|---|---|---|---|
| James Lee Frazier | 2704835 | 5 | 08/03/2012 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Candice Joy Hutton | 2733374 | 13 | 08/01/2012 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert McGrorty | 1139987 | 1 | 07/30/2012 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Gavin Lucas Hamels | 4701012 | 10 | 07/18/2012 | Customer Dispute | Pending | $670,000.00 | $0.00 | See FINRA Report |
| Gavin Lucas Hamels | 4701012 | 10 | 07/18/2012 | Customer Dispute | Pending | $3,200,000.00 | $0.00 | See FINRA Report |
| Gavin Lucas Hamels | 4701012 | 10 | 07/18/2012 | Customer Dispute | Pending | $400,000.00 | $0.00 | See FINRA Report |
| George Robert McKown | 4133109 | 7 | 07/18/2012 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| George Robert McKown | 4133109 | 7 | 07/18/2012 | Customer Dispute | Pending | $3,000,000.00 | $0.00 | See FINRA Report |
| David Keith Weber | 4797454 | 2 | 07/09/2012 | Customer Dispute | Pending | $700,000.00 | $0.00 | See FINRA Report |
| Marjorie Charlotte Benedict-Holman | 2054744 | 1 | 06/13/2012 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |