Our Staff has compiled our research into a database of FINRA Broker Disclosures for . 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 |
|---|---|---|---|---|---|---|---|---|
| Kristopher Charles Kessler | 4543640 | 2 | 07/31/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank J Bodi | 1107838 | 14 | 02/16/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Benjamin R Pfiffner | 5420001 | 2 | 09/27/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank J Bodi | 1107838 | 14 | 12/21/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kristopher Charles Kessler | 4543640 | 2 | 12/19/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank J Bodi | 1107838 | 14 | 07/12/2010 | Customer Dispute | Settled | $157,046.00 | $0.00 | See FINRA Report |
| Benjamin R Pfiffner | 5420001 | 2 | 07/01/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank J Bodi | 1107838 | 14 | 08/08/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank J Bodi | 1107838 | 14 | 06/26/2002 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Frank J Bodi | 1107838 | 14 | 05/01/2002 | Customer Dispute | Denied | $152,031.00 | $0.00 | See FINRA Report |