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 |
|---|---|---|---|---|---|---|---|---|
| Roy Arendal Norman | 1543608 | 3 | 10/18/2004 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Robert Leo Vonderharr | 1556834 | 3 | 10/15/2004 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Stephen James Sperling | 3061073 | 8 | 09/29/2004 | Customer Dispute | Withdrawn | $10,000.00 | $0.00 | See FINRA Report |
| Thomas Lee Klimisch | 2748323 | 2 | 09/15/2004 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Todd Edward Kimpel | 1203275 | 4 | 09/15/2004 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Todd Edward Kimpel | 1203275 | 4 | 09/15/2004 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Todd Edward Kimpel | 1203275 | 4 | 09/15/2004 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Keith Roger Hullum | 4678778 | 1 | 09/13/2004 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Joy Sachiko Kodama | 4083004 | 1 | 09/10/2004 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Marc Jacob Jacobson | 1908557 | 9 | 09/01/2004 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |