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 |
|---|---|---|---|---|---|---|---|---|
| Arnold Hinsdale Kraus | 275067 | 3 | 11/30/-0001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kent Chapman Guernsey | 1371793 | 1 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Randall Kent Minas | 821449 | 6 | 11/30/-0001 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Ulises Covar | 55461 | 3 | 11/30/-0001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Bernard Maloney | 822550 | 2 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Lowell Goldman | 224369 | 3 | 11/30/-0001 | Customer Dispute | Award / Judgment | $27,000.00 | $20,000.00 | See FINRA Report |
| Scott Allen Middleton | 2167873 | 1 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven David Lockshin | 1557803 | 2 | 11/30/-0001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Holly Lee Hendrix | 836958 | 10 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $3,000.00 | See FINRA Report |
| Holly Lee Hendrix | 836958 | 10 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |