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 |
|---|---|---|---|---|---|---|---|---|
| Craig Lee Carson | 41892 | 23 | 06/20/1907 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| John Lanham Ferris | 206848 | 7 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dale Richard Alexander | 2717 | 4 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Wallace Edward Cook | 1348350 | 2 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dennis Carl Lambert | 710139 | 1 | 11/30/-0001 | Customer Dispute | Settled | $17,500.00 | $0.00 | See FINRA Report |
| Maryann A McNulty | 858949 | 2 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert H Gorman | 226107 | 3 | 11/30/-0001 | Customer Dispute | Settled | $31,000.00 | $0.00 | See FINRA Report |
| Stuart Myles Godin | 223476 | 9 | 11/30/-0001 | Customer Dispute | Settled | $1,850,000.00 | $0.00 | See FINRA Report |
| Rudolph Richard Commans | 51717 | 1 | 11/30/-0001 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Mark Alvin Farsdahl | 710594 | 1 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |