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 |
|---|---|---|---|---|---|---|---|---|
| Glen Warren Darby | 1197949 | 2 | 04/21/2011 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| David Polevoy | 3082662 | 2 | 04/01/2011 | Customer Dispute | Withdrawn | $80,000.00 | $0.00 | See FINRA Report |
| Kenneth Carl Spell | 709178 | 4 | 03/31/2011 | Customer Dispute | Withdrawn | $46,000.00 | $0.00 | See FINRA Report |
| Kevin Allen Johnson | 4237715 | 3 | 03/28/2011 | Customer Dispute | Withdrawn | $25,000.00 | $0.00 | See FINRA Report |
| John David Monroe | 2145151 | 2 | 03/22/2011 | Customer Dispute | Withdrawn | $75,000.00 | $0.00 | See FINRA Report |
| Thomas Earl Seifert | 867911 | 1 | 03/21/2011 | Customer Dispute | Withdrawn | $1,100,000.00 | $0.00 | See FINRA Report |
| Palmer Craig Scarritt | 2457882 | 1 | 03/17/2011 | Customer Dispute | Withdrawn | $204,000.00 | $0.00 | See FINRA Report |
| Francis Moffitt Traynor | 449006 | 3 | 03/17/2011 | Customer Dispute | Withdrawn | $204,000.00 | $0.00 | See FINRA Report |
| Raymond Willis Harrison | 2287436 | 5 | 02/26/2011 | Customer Dispute | Withdrawn | $120,000.00 | $0.00 | See FINRA Report |
| David Polevoy | 3082662 | 2 | 02/07/2011 | Customer Dispute | Withdrawn | $611,022.00 | $0.00 | See FINRA Report |