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 |
|---|---|---|---|---|---|---|---|---|
| Dirk Joseph Harris | 4528418 | 4 | 05/08/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Charles Lester Jantzi | 2790352 | 4 | 05/08/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Tiffany Maria Angelle | 4803397 | 3 | 05/08/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| John White Schwab | 1055430 | 5 | 05/05/2009 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Charles Lester Jantzi | 2790352 | 4 | 04/30/2009 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Charles Lester Jantzi | 2790352 | 4 | 04/24/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Tiffany Maria Angelle | 4803397 | 3 | 04/24/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Lee David Simmonds | 1604871 | 4 | 04/17/2009 | Customer Dispute | Pending | $70,000.00 | $0.00 | See FINRA Report |
| Charles Lee Brickey | 2106502 | 7 | 04/15/2009 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| John Mark Holliday | 2773162 | 2 | 04/15/2009 | Customer Dispute | Pending | $750,000.00 | $0.00 | See FINRA Report |