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 |
|---|---|---|---|---|---|---|---|---|
| Joseph George Thomas | 445260 | 9 | 11/30/-0001 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Jean-Jacques Dalpe | 816500 | 1 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Richard Hukle | 501763 | 2 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Donald Charles Zepp | 476327 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $3,800,000.00 | $1,492,300.00 | See FINRA Report |
| Jack Winfield Graves | 1349955 | 12 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Barbara Ann Andrews | 1049118 | 1 | 11/30/-0001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Kevin McKenty | 1140674 | 1 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Barry Michael Vener | 865839 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $8,658.00 | $3,000.00 | See FINRA Report |
| Elliott Mitchell Hollub | 248855 | 3 | 11/30/-0001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Joseph Croak | 840899 | 4 | 11/30/-0001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |