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 |
|---|---|---|---|---|---|---|---|---|
| James Walter Zelek | 1216589 | 6 | 08/18/2011 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Brian David Thompson | 4374982 | 3 | 08/14/2011 | Customer Dispute | Withdrawn | $24,000.00 | $0.00 | See FINRA Report |
| John Everett Wingate | 3177979 | 1 | 08/14/2011 | Customer Dispute | Withdrawn | $24,000.00 | $0.00 | See FINRA Report |
| John Thomas Steel | 4646131 | 2 | 08/10/2011 | Customer Dispute | Withdrawn | $29,664.30 | $0.00 | See FINRA Report |
| David Lloyd Barber | 1165082 | 10 | 08/09/2011 | Customer Dispute | Withdrawn | $460,000.00 | $0.00 | See FINRA Report |
| Peter Raymond Dorn | 1089858 | 4 | 08/08/2011 | Customer Dispute | Withdrawn | $1,000,000.00 | $0.00 | See FINRA Report |
| Carl Norris Johnson | 1144288 | 11 | 08/08/2011 | Customer Dispute | Withdrawn | $1,000,000.00 | $0.00 | See FINRA Report |
| Tommy Lavon Hayes | 240595 | 1 | 08/04/2011 | Customer Dispute | Withdrawn | $168,000.00 | $0.00 | See FINRA Report |
| Scott Aron Brown | 5073436 | 1 | 08/04/2011 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Scott Patrick Hillary | 2496631 | 2 | 08/01/2011 | Customer Dispute | Withdrawn | $20,000.00 | $0.00 | See FINRA Report |