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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Gordon Walkow | 2605130 | 5 | 02/22/2011 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Daniel Gordon Walkow | 2605130 | 5 | 02/22/2011 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Brian Thomas Oconnor | 1586804 | 6 | 02/15/2011 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Allison Shepherd | 1859453 | 3 | 02/01/2011 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Craig Brinton | 5498737 | 3 | 01/28/2011 | Customer Dispute | Pending | $260,000.00 | $0.00 | See FINRA Report |
| Charles Arthur Mills | 335939 | 5 | 01/12/2011 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| William George Hart | 2063060 | 9 | 01/07/2011 | Customer Dispute | Pending | $250,000.00 | $61,800.00 | See FINRA Report |
| Tony Nile Russon | 1017150 | 21 | 01/07/2011 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Arlo Jean Stoll | 2863903 | 6 | 01/03/2011 | Customer Dispute | Pending | $65,000.00 | $0.00 | See FINRA Report |
| Charles Lawrence Copeland | 3046149 | 1 | 12/30/2010 | Customer Dispute | Pending | $1,075,000.00 | $0.00 | See FINRA Report |