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 |
|---|---|---|---|---|---|---|---|---|
| Lisa Adrienne Franklin | 2570373 | 3 | 05/20/2003 | Customer Dispute | Pending | $48,000.00 | $0.00 | See FINRA Report |
| William Otto Moore | 3258697 | 1 | 05/19/2003 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Michael Townsend | 2102166 | 2 | 05/19/2003 | Customer Dispute | Pending | $562,489.00 | $0.00 | See FINRA Report |
| Nicholas Joseph Milana | 1057750 | 2 | 05/16/2003 | Customer Dispute | Pending | $104,479.00 | $0.00 | See FINRA Report |
| Frank McNair Sims | 1252022 | 7 | 05/06/2003 | Customer Dispute | Pending | $6,250.00 | $0.00 | See FINRA Report |
| John Michael Convery | 1394717 | 3 | 05/06/2003 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| Arthur Robert Fu | 708840 | 1 | 04/29/2003 | Customer Dispute | Pending | $12,419.00 | $0.00 | See FINRA Report |
| Robert Bennett Johnston | 1161633 | 4 | 04/29/2003 | Customer Dispute | Pending | $12,419.00 | $0.00 | See FINRA Report |
| Richard E Mundinger | 2686311 | 2 | 04/24/2003 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Donna Carroll Hiner | 1884741 | 1 | 04/19/2003 | Customer Dispute | Pending | $64,400.00 | $0.00 | See FINRA Report |