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 |
|---|---|---|---|---|---|---|---|---|
| Susan Lyle | 1980360 | 2 | 09/30/2003 | Customer Dispute | Pending | $111,432.00 | $0.00 | See FINRA Report |
| Bryce Boyd Pease | 854522 | 3 | 09/19/2003 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Eric Lawrence Weinstein | 1420472 | 1 | 09/16/2003 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| William John Trantalis | 1001582 | 4 | 09/15/2003 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Richard Robert Jandrain | 2277579 | 3 | 09/10/2003 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| John Robert Scott | 1866558 | 2 | 09/03/2003 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| James Adlai Thomsen | 1510675 | 1 | 09/03/2003 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Charles Ronald Baker | 10600 | 5 | 08/20/2003 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Tommy Robert Tervort | 2283262 | 11 | 08/08/2003 | Customer Dispute | Pending | $90,000.00 | $0.00 | See FINRA Report |
| Kenneth Neal Shortlidge | 1157893 | 3 | 07/30/2003 | Customer Dispute | Pending | $58,000.00 | $0.00 | See FINRA Report |