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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Richard Smith | 2632131 | 1 | 08/22/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Andrew William Miles | 5986774 | 18 | 08/22/2024 | Customer Dispute | Pending | $350,000.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Perry | 1795927 | 1 | 08/22/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thaddaeus Daniel Allen | 5644772 | 2 | 08/22/2024 | Customer Dispute | Pending | $104,000.00 | $0.00 | See FINRA Report |
| Rodney Wayne Rich | 714642 | 2 | 08/22/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Thomas Leone | 4437353 | 1 | 08/22/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Stephen Sorrell | 1206577 | 1 | 08/22/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Philippus Theunis van Staden | 4489166 | 15 | 08/22/2024 | Customer Dispute | Pending | $350,000.00 | $0.00 | See FINRA Report |
| Robert Paul Gehlen | 2148074 | 4 | 08/22/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David M Reyes | 5330710 | 1 | 08/22/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |