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 |
|---|---|---|---|---|---|---|---|---|
| Adam Brooks Steen | 2231499 | 1 | 04/13/2007 | Customer Dispute | Withdrawn | $21,000.00 | $0.00 | See FINRA Report |
| Michelle Ashley Hart | 2332375 | 5 | 04/12/2007 | Customer Dispute | Withdrawn | $24,000.00 | $0.00 | See FINRA Report |
| John Franklin Keene | 1811024 | 2 | 04/10/2007 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Brian Thomas Lippe | 3023814 | 2 | 03/28/2007 | Customer Dispute | Withdrawn | $5,417.00 | $0.00 | See FINRA Report |
| Robert C Wynn | 2458453 | 7 | 03/23/2007 | Customer Dispute | Withdrawn | $520,816.00 | $0.00 | See FINRA Report |
| Theresa M Dillard | 1883367 | 3 | 03/22/2007 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Gail Sandra Johnson | 1758176 | 3 | 03/19/2007 | Customer Dispute | Withdrawn | $16,368.30 | $0.00 | See FINRA Report |
| Susan E Gnall | 2480654 | 1 | 03/05/2007 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Curtis Laverne Kurtz | 1042174 | 1 | 02/24/2007 | Customer Dispute | Withdrawn | $10,000.00 | $0.00 | See FINRA Report |
| William Thomas Manchester | 4397883 | 2 | 02/07/2007 | Customer Dispute | Withdrawn | $170,000.00 | $0.00 | See FINRA Report |