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 |
|---|---|---|---|---|---|---|---|---|
| Janet Ellen Stroud | 1124491 | 2 | 02/11/2003 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Vance Dleal Lowe | 1217483 | 6 | 02/03/2003 | Customer Dispute | Withdrawn | $65,000.00 | $0.00 | See FINRA Report |
| Robert Nahum | 2542976 | 1 | 02/03/2003 | Customer Dispute | Withdrawn | $1,000,000.00 | $0.00 | See FINRA Report |
| Melissa Stout | 1237337 | 1 | 01/31/2003 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| James Francis Worfolk | 2629619 | 1 | 01/31/2003 | Customer Dispute | Withdrawn | $36,852.00 | $0.00 | See FINRA Report |
| Walter C Richardson | 2989191 | 2 | 01/23/2003 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Catherine Ann Azevedo | 1511520 | 3 | 01/23/2003 | Customer Dispute | Withdrawn | $300,000.00 | $0.00 | See FINRA Report |
| Peter Lynn Siegel | 1143690 | 3 | 01/16/2003 | Customer Dispute | Withdrawn | $6,616.27 | $0.00 | See FINRA Report |
| Gary Dean Williams | 1362292 | 5 | 01/14/2003 | Customer Dispute | Withdrawn | $65,000.00 | $0.00 | See FINRA Report |
| Rebecca Dawson | 1146385 | 3 | 01/13/2003 | Customer Dispute | Withdrawn | $107,250.00 | $0.00 | See FINRA Report |