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 |
|---|---|---|---|---|---|---|---|---|
| William Hartwell Cox | 2143012 | 4 | 06/27/2006 | Customer Dispute | Withdrawn | $21,000.00 | $0.00 | See FINRA Report |
| William Hartwell Cox | 2143012 | 4 | 06/27/2006 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| William Hartwell Cox | 2143012 | 4 | 06/27/2006 | Customer Dispute | Withdrawn | $17,000.00 | $0.00 | See FINRA Report |
| Hugh Reilly | 1696419 | 1 | 06/24/2006 | Customer Dispute | Withdrawn | $250,000.00 | $0.00 | See FINRA Report |
| Thomas Scott Robbins | 1497264 | 3 | 06/20/2006 | Customer Dispute | Withdrawn | $104,000.00 | $0.00 | See FINRA Report |
| Kent Paikan Huang | 4546061 | 3 | 06/14/2006 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Hugh MacK Sloan | 734065 | 2 | 06/13/2006 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Edward Rice | 726550 | 1 | 06/12/2006 | Customer Dispute | Withdrawn | $46,000.00 | $0.00 | See FINRA Report |
| Peter David Sentance | 1002084 | 2 | 05/25/2006 | Customer Dispute | Withdrawn | $162,000.00 | $0.00 | See FINRA Report |
| Thomas Michael Schuh | 2812636 | 1 | 05/23/2006 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |