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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Earl Simms | 1364952 | 3 | 02/05/2003 | Customer Dispute | Denied | $52,000.00 | $0.00 | See FINRA Report |
| James Andrew Smith | 1042591 | 1 | 02/05/2003 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Ronnie Joseph Labarbera | 2138884 | 2 | 06/15/2001 | Customer Dispute | Denied | $7,749.00 | $0.00 | See FINRA Report |
| Ali Kazemi | 1546765 | 3 | 08/11/2000 | Customer Dispute | Denied | $12,600.00 | $0.00 | See FINRA Report |
| James Robert Buiter | 2768296 | 2 | 09/14/1999 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| John Samuel Karrant | 1729499 | 1 | 05/01/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |