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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Lee Sloan | 1496530 | 35 | 08/17/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| John Francis Kloecker | 2637056 | 6 | 08/17/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Forrest Eugene Fielder | 4287284 | 2 | 08/15/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Joergen H Herbert K Schade | 412245 | 2 | 08/15/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Robin Dewayne Walls | 2486133 | 10 | 08/09/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Don Eugene Etchison | 1037114 | 2 | 08/08/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Philip Joseph Deangelo | 4204841 | 5 | 08/04/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Joseph M Devlin | 2182188 | 1 | 07/30/2012 | Customer Dispute | Withdrawn | $197,163.00 | $0.00 | See FINRA Report |
| Jennifer Shan Shu Corona | 2986611 | 5 | 07/17/2012 | Customer Dispute | Withdrawn | $16,714.60 | $0.00 | See FINRA Report |
| Jerry Label | 1613171 | 2 | 07/11/2012 | Customer Dispute | Withdrawn | $32,482.00 | $0.00 | See FINRA Report |