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 |
|---|---|---|---|---|---|---|---|---|
| Jack Erwin Fuqua | 215885 | 5 | 07/22/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Nielson Phillips | 872937 | 3 | 07/19/1985 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Thomas Francis Duffy | 72810 | 5 | 07/03/1985 | Customer Dispute | Settled | $21,000.00 | $0.00 | See FINRA Report |
| Robert Alexander Anderson | 5471 | 2 | 07/02/1985 | Customer Dispute | Settled | $40,168.70 | $0.00 | See FINRA Report |
| Robert Eugene Durham | 710763 | 1 | 07/01/1985 | Customer Dispute | Settled | $46,000.00 | $0.00 | See FINRA Report |
| Randy Rene Knopp | 857302 | 1 | 07/01/1985 | Customer Dispute | Settled | $660,000.00 | $0.00 | See FINRA Report |
| Douglas Charles Gast | 218603 | 2 | 07/01/1985 | Customer Dispute | Settled | $195,000.00 | $0.00 | See FINRA Report |
| John Michael Legg | 712395 | 1 | 06/26/1985 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Thomas Ervin Ledford | 1078469 | 2 | 06/25/1985 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Stephen C Ibarguen | 1130652 | 3 | 06/24/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |