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 Takashi Sugai | 439390 | 1 | 06/21/1985 | Customer Dispute | Settled | $76,394.40 | $0.00 | See FINRA Report |
| Dale Koblenzer | 835627 | 1 | 06/21/1985 | Customer Dispute | Settled | $441,046.00 | $0.00 | See FINRA Report |
| Joseph Jay Luksis | 1034084 | 3 | 06/12/1985 | Customer Dispute | Settled | $74,000.00 | $0.00 | See FINRA Report |
| Dennis Arthur Larson | 302868 | 1 | 06/01/1985 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Laura Jane Pendletonmiller | 702454 | 4 | 05/24/1985 | Customer Dispute | Settled | $21,982.30 | $0.00 | See FINRA Report |
| Paul John Robinson | 401768 | 3 | 05/22/1985 | Customer Dispute | Settled | $228,055.00 | $0.00 | See FINRA Report |
| Clarence Seese | 719929 | 1 | 05/20/1985 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| James Richard Lawson | 803706 | 2 | 05/15/1985 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Kirk Gerard Aguer | 1852 | 12 | 05/07/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bill Eugene Wilson | 722043 | 1 | 05/01/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |