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 Lester Jantzi | 2790352 | 4 | 09/01/2009 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| John White Schwab | 1055430 | 5 | 08/27/2009 | Customer Dispute | Pending | $5,001.00 | $0.00 | See FINRA Report |
| John White Schwab | 1055430 | 5 | 08/26/2009 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Dirk Joseph Harris | 4528418 | 4 | 08/26/2009 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Bruce Ralby | 1301072 | 12 | 08/26/2009 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Jay Mark Miller | 717726 | 4 | 08/24/2009 | Customer Dispute | Pending | $700,000.00 | $0.00 | See FINRA Report |
| Dirk Joseph Harris | 4528418 | 4 | 08/13/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Tiffany Maria Angelle | 4803397 | 3 | 08/13/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jural Lee Daniel | 1790585 | 4 | 08/07/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Scott Goodwin Thomas | 1512697 | 3 | 07/30/2009 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |