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 |
|---|---|---|---|---|---|---|---|---|
| Donald Gene Dewaay | 1297174 | 30 | 06/13/2011 | Customer Dispute | Withdrawn | $822,568.00 | $0.00 | See FINRA Report |
| Bryon Timothy Glime | 4977989 | 9 | 06/10/2011 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| James Terrence McMahon | 1000661 | 5 | 05/31/2011 | Customer Dispute | Withdrawn | $196,116.00 | $0.00 | See FINRA Report |
| Hossein Mohammad Yekani | 1632842 | 23 | 05/27/2011 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Carl Fazio | 1195168 | 3 | 05/25/2011 | Customer Dispute | Withdrawn | $20,000.00 | $0.00 | See FINRA Report |
| Susan Jean Young | 736792 | 1 | 05/23/2011 | Customer Dispute | Withdrawn | $300,000.00 | $0.00 | See FINRA Report |
| Hans Michael Keden | 1535424 | 1 | 05/11/2011 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| John Robert Havranek | 2299632 | 8 | 05/06/2011 | Customer Dispute | Withdrawn | $32,206.80 | $0.00 | See FINRA Report |
| Mark Thomas McCloskey | 325596 | 21 | 04/27/2011 | Customer Dispute | Withdrawn | $812,000.00 | $0.00 | See FINRA Report |
| Sheldon R Bender | 1325415 | 10 | 04/27/2011 | Customer Dispute | Withdrawn | $1,000,000.00 | $0.00 | See FINRA Report |