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 |
|---|---|---|---|---|---|---|---|---|
| Lenajo Marie Hartley | 2905105 | 1 | 03/09/2001 | Customer Dispute | Pending | $39,000.00 | $0.00 | See FINRA Report |
| Debbra Kaye Shotts | 2534911 | 1 | 03/02/2001 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Richard Reynold Ciuffa | 1263006 | 3 | 03/01/2001 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| John Wayne Hanson | 842004 | 2 | 03/01/2001 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| James Joseph Ertmann | 2747524 | 5 | 02/26/2001 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Mark Christopher Hughes | 2308753 | 8 | 02/22/2001 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Jose Luis Perez-Del Toro | 2125778 | 3 | 02/16/2001 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Hugh Jefferson Hinson | 2326361 | 2 | 02/15/2001 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| John Thomas Oehl | 1313682 | 8 | 02/12/2001 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Brent Alan Nelson | 3026585 | 7 | 02/07/2001 | Customer Dispute | Pending | $30,000.00 | $0.00 | See FINRA Report |