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 |
|---|---|---|---|---|---|---|---|---|
| Allen John Hegener | 1136011 | 3 | 11/30/-0001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dennis Carl Lambert | 710139 | 1 | 11/30/-0001 | Customer Dispute | Settled | $17,500.00 | $0.00 | See FINRA Report |
| James Donald Miller | 1407934 | 2 | 11/30/-0001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Arvid Luther Lokensgard | 311936 | 4 | 11/30/-0001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Maryann A McNulty | 858949 | 2 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Xavier Magnesio | 1236188 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $3,105.13 | $3,105.13 | See FINRA Report |
| Metro Joseph Duda | 1147363 | 1 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Emerson Dear | 1197082 | 1 | 11/30/-0001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Anthony Lammers | 1398053 | 2 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert H Gorman | 226107 | 3 | 11/30/-0001 | Customer Dispute | Settled | $31,000.00 | $0.00 | See FINRA Report |