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 |
|---|---|---|---|---|---|---|---|---|
| Lois A Miskinis | 1736604 | 1 | 12/04/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Cresap Swigert | 1686025 | 2 | 10/13/2015 | Customer Dispute | Withdrawn | $60,000.00 | $0.00 | See FINRA Report |
| Karl Arnold Kebler | 2087851 | 1 | 08/03/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ronald Austin McGrath | 3060849 | 1 | 02/06/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Allan Ulrich | 1017571 | 3 | 11/17/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lisa Aileen Pugel | 2506156 | 3 | 08/13/2014 | Customer Dispute | Settled | $7,297.09 | $0.00 | See FINRA Report |
| Kenneth Allan Ulrich | 1017571 | 3 | 07/24/2014 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |
| Louis Joseph Gallipoli | 2835674 | 2 | 04/23/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tonya Gay Fulcher | 2356493 | 1 | 04/18/2014 | Customer Dispute | Closed-No Action | $76,205.90 | $0.00 | See FINRA Report |
| Sergio T Rodriguez | 5954885 | 1 | 03/07/2014 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |