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 |
|---|---|---|---|---|---|---|---|---|
| Harvey Wacht | 456036 | 1 | 07/13/2009 | Customer Dispute | Withdrawn | $40,000.00 | $2,200.00 | See FINRA Report |
| David Neil Soiferman | 1990243 | 6 | 07/09/2009 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Jordan Royce Matthews | 2788154 | 1 | 07/02/2009 | Customer Dispute | Withdrawn | $400,000.00 | $0.00 | See FINRA Report |
| Christopher Thomas Eriksson | 2487298 | 9 | 06/30/2009 | Customer Dispute | Withdrawn | $750,000.00 | $0.00 | See FINRA Report |
| Logan Burch Phillips | 4548521 | 1 | 06/29/2009 | Customer Dispute | Withdrawn | $108,000.00 | $0.00 | See FINRA Report |
| Logan Burch Phillips | 1248589 | 9 | 06/29/2009 | Customer Dispute | Withdrawn | $108,000.00 | $0.00 | See FINRA Report |
| Robert N Truitt | 2367270 | 2 | 06/29/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Everett Lyle Johnson | 4539323 | 3 | 06/29/2009 | Customer Dispute | Withdrawn | $31,000.00 | $0.00 | See FINRA Report |
| Lana M Engen | 713037 | 2 | 06/25/2009 | Customer Dispute | Withdrawn | $330,000.00 | $0.00 | See FINRA Report |
| Paul B Payne | 2207647 | 1 | 06/24/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |