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 |
|---|---|---|---|---|---|---|---|---|
| Rett Walter Humke | 1293893 | 1 | 08/07/2001 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| James Monroe Butler | 2826842 | 1 | 07/30/2001 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Keith Dandridge Lea | 1433108 | 1 | 07/30/2001 | Customer Dispute | Pending | $7,510.48 | $0.00 | See FINRA Report |
| Michael L Niemczyk | 3097183 | 7 | 07/24/2001 | Customer Dispute | Pending | $20,000.00 | $0.00 | See FINRA Report |
| Edwin Bueno | 2875129 | 1 | 07/13/2001 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Iva Walker Mallory | 2270760 | 2 | 07/11/2001 | Customer Dispute | Pending | $35,000.00 | $0.00 | See FINRA Report |
| Robert Charles Fairchild | 2219149 | 2 | 07/07/2001 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Mark Arthur Puccini | 1766547 | 2 | 07/06/2001 | Customer Dispute | Pending | $4,000,000.00 | $0.00 | See FINRA Report |
| Malcolm Gene Pickett | 1426362 | 7 | 06/29/2001 | Customer Dispute | Pending | $20,000.00 | $0.00 | See FINRA Report |
| Vincent James Benvenuto | 1690424 | 2 | 06/28/2001 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |