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 |
|---|---|---|---|---|---|---|---|---|
| Ahmed H Zaki | 1776881 | 2 | 07/28/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Pamela Jean Gilkey Slatten | 5045460 | 2 | 07/08/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Alan Strojny | 1890091 | 2 | 05/26/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian A Pecker | 3108457 | 1 | 05/19/2009 | Customer Dispute | Settled | $338,327.00 | $0.00 | See FINRA Report |
| William Franklin Richardson | 721293 | 7 | 05/05/2009 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| Howard Albert Cohn | 2617907 | 1 | 04/20/2009 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| C Gerard van Duinen | 2955290 | 1 | 04/14/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William Franklin Richardson | 721293 | 7 | 03/31/2009 | Customer Dispute | Settled | $34,819.40 | $0.00 | See FINRA Report |
| James Robert Buiter | 2768296 | 2 | 03/20/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew Blaise White | 3039904 | 1 | 03/02/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |