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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Melvyn Ackerman | 785 | 3 | 06/13/2003 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Charles Merrill Kipp | 2311866 | 3 | 06/13/2003 | Customer Dispute | Pending | $12,000.00 | $0.00 | See FINRA Report |
| James M Sleight | 2014684 | 1 | 06/10/2003 | Customer Dispute | Pending | $960,000.00 | $0.00 | See FINRA Report |
| Rafael Golan | 1074079 | 16 | 06/06/2003 | Customer Dispute | Pending | $7,000.00 | $0.00 | See FINRA Report |
| Frederick Harry Johnson | 1106097 | 3 | 06/06/2003 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| William Clifford Fraley | 2334771 | 1 | 06/01/2003 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Danny Michael Bazar | 1352044 | 3 | 05/27/2003 | Customer Dispute | Pending | $57,355.40 | $0.00 | See FINRA Report |
| Marvin Stewart Heiman | 1091724 | 3 | 05/23/2003 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Chris Joseph Ludwig | 2249462 | 15 | 05/20/2003 | Customer Dispute | Pending | $60,000.00 | $0.00 | See FINRA Report |
| John Anthony Falco | 4240661 | 1 | 05/20/2003 | Customer Dispute | Pending | $38,349.00 | $0.00 | See FINRA Report |