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 |
|---|---|---|---|---|---|---|---|---|
| Ruben Guerrero | 4650462 | 1 | 03/23/2009 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Frederick James Brandt | 1747278 | 7 | 03/20/2009 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
| Dirk Joseph Harris | 4528418 | 4 | 03/17/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Carlos Antonio Perez | 2224602 | 1 | 03/17/2009 | Customer Dispute | Pending | $640,000.00 | $0.00 | See FINRA Report |
| Michael Wayne Word | 2335732 | 3 | 03/17/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Louis William Meyer | 1059719 | 3 | 03/06/2009 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Louis Melvin Perry | 360683 | 4 | 03/04/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| John Michael Arthur | 703729 | 3 | 02/25/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jonathan Adam Barrack | 1393944 | 5 | 02/25/2009 | Customer Dispute | Pending | $847,000.00 | $0.00 | See FINRA Report |
| John Elmer Fleckenstein | 1790867 | 13 | 02/25/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |