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 |
|---|---|---|---|---|---|---|---|---|
| Harvey Jack Markzon | 320299 | 1 | 11/30/-0001 | Customer Dispute | Settled | $46,770.00 | $0.00 | See FINRA Report |
| George E Smith | 816961 | 5 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Patrick Downs | 860018 | 5 | 11/30/-0001 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Loretta Ray Rivers | 711411 | 13 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey B McAleney | 1011501 | 10 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Ruloff Schanck | 412565 | 8 | 11/30/-0001 | Customer Dispute | Award / Judgment | $2,000.00 | $2,000.00 | See FINRA Report |
| David Clark Gossling | 2545451 | 2 | 11/30/-0001 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Leonard J Ferrara | 869932 | 3 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See FINRA Report |
| Donald Ray Winton | 867084 | 1 | 11/30/-0001 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Frederick William Scholz | 1048574 | 1 | 11/30/-0001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |