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 |
|---|---|---|---|---|---|---|---|---|
| Robert Otis Lenoir | 1499588 | 2 | 06/17/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Sharon K Kells | 1007283 | 3 | 06/16/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Marvin Sanders Rosen | 1599313 | 2 | 06/16/2009 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Forest Held | 1017651 | 8 | 06/12/2009 | Customer Dispute | Pending | $460,000.00 | $0.00 | See FINRA Report |
| Christine M Satterfield | 2978106 | 1 | 06/08/2009 | Customer Dispute | Pending | $111,528.00 | $0.00 | See FINRA Report |
| Gilbert Nicholas Greer | 723153 | 3 | 06/08/2009 | Customer Dispute | Pending | $400,000.00 | $0.00 | See FINRA Report |
| Douglas Bruce Shaw | 1032211 | 14 | 05/29/2009 | Customer Dispute | Pending | $750,000.00 | $0.00 | See FINRA Report |
| Gary Paul Haindel | 2336360 | 1 | 05/26/2009 | Customer Dispute | Pending | $5,001.00 | $0.00 | See FINRA Report |
| John White Schwab | 1055430 | 5 | 05/21/2009 | Customer Dispute | Pending | $5,001.00 | $0.00 | See FINRA Report |
| Alvaro Trullenque | 1753281 | 1 | 05/18/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |