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 |
|---|---|---|---|---|---|---|---|---|
| Thomas W Alison | 3005 | 35 | 11/30/-0001 | Customer Dispute | Settled | $33,217.10 | $0.00 | See FINRA Report |
| Thomas W Alison | 3005 | 35 | 11/30/-0001 | Customer Dispute | Settled | $33,000.00 | $0.00 | See FINRA Report |
| Thomas W Alison | 3005 | 35 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark E Carr | 1078286 | 1 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Arthur Raymond Randall | 1246969 | 2 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David William Demming | 854343 | 15 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David William Demming | 854343 | 15 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |