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 |
|---|---|---|---|---|---|---|---|---|
| Anthony Wykes | 3045914 | 1 | 04/03/2012 | Customer Dispute | Withdrawn | $249,000.00 | $0.00 | See FINRA Report |
| Thomas Charles Goldschmidt | 1854795 | 1 | 03/30/2012 | Customer Dispute | Withdrawn | $35,829.30 | $0.00 | See FINRA Report |
| Michael Alan Manning | 1385785 | 1 | 03/27/2012 | Customer Dispute | Withdrawn | $33,000.00 | $0.00 | See FINRA Report |
| Charles Edward Durham | 4337880 | 5 | 03/19/2012 | Customer Dispute | Withdrawn | $25,000.00 | $0.00 | See FINRA Report |
| Sammy C Chang | 4610373 | 1 | 03/15/2012 | Customer Dispute | Withdrawn | $7,000.00 | $0.00 | See FINRA Report |
| Jason Allen Groth | 2933258 | 2 | 03/15/2012 | Customer Dispute | Withdrawn | $35,000.00 | $0.00 | See FINRA Report |
| Scott Mass | 1971403 | 6 | 03/09/2012 | Customer Dispute | Withdrawn | $250,000.00 | $0.00 | See FINRA Report |
| John Henry Cierski | 2138486 | 6 | 03/07/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| James Albert Hunziker | 1100988 | 4 | 03/05/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| John Francis Kloecker | 2637056 | 6 | 02/27/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |