Potomac Analytics' Logo

FINRA Broker Disclosures

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:

Filter by:

Sort by:

Displaying 235,381-235,390 out of 235,401 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Thomas W Alison30053511/30/-0001Customer DisputeSettled$0.00$0.00See FINRA Report
Thomas W Alison30053511/30/-0001Customer DisputeSettled$0.00$0.00See FINRA Report
Thomas W Alison30053511/30/-0001Customer DisputeSettled$0.00$0.00See FINRA Report
Thomas W Alison30053511/30/-0001Customer DisputeSettled$0.00$0.00See FINRA Report
Thomas W Alison30053511/30/-0001Customer DisputeSettled$13,780.20$0.00See FINRA Report
Thomas W Alison30053511/30/-0001Customer DisputeSettled$33,217.10$0.00See FINRA Report
Thomas W Alison30053511/30/-0001Customer DisputeSettled$33,000.00$0.00See FINRA Report
Thomas W Alison30053511/30/-0001Customer DisputeSettled$0.00$0.00See FINRA Report
Warren Kirk Hayes240599411/30/-0001Customer DisputeAward / Judgment$0.00$103,796.00See FINRA Report
Joseph Easaw2309978111/30/-0001CriminalFinal Disposition$0.00$0.00See FINRA Report

235,401 Results

Display: