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 Gavin Knowles | 1154663 | 3 | 07/07/2010 | Customer Dispute | Pending | $31,500.00 | $0.00 | See FINRA Report |
| Donald James Kellen | 266469 | 11 | 07/01/2010 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| John Michael Arthur | 703729 | 3 | 06/29/2010 | Customer Dispute | Pending | $375,000.00 | $0.00 | See FINRA Report |
| William Dennis Derrington | 1325480 | 6 | 06/28/2010 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Emanuel Louis Sarris | 1363059 | 13 | 06/25/2010 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Emanuel Louis Sarris | 1363059 | 13 | 06/25/2010 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| John Christopher Lame | 2148312 | 1 | 06/23/2010 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| Anthony Paul Monforton | 862787 | 1 | 06/21/2010 | Customer Dispute | Pending | $2,135,910.00 | $0.00 | See FINRA Report |
| Randy Lee Immeker | 1184347 | 3 | 06/21/2010 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Lloyd Craig Blankfein | 1452781 | 7 | 06/21/2010 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |