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 |
|---|---|---|---|---|---|---|---|---|
| Alan Michael Gnoinski | 4416094 | 2 | 05/04/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stuart Stein | 1135575 | 2 | 11/18/2003 | Customer Dispute | Settled | $25,440.00 | $0.00 | See FINRA Report |
| Samuel Ray Davis | 1612429 | 1 | 10/23/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bruce A Troutman | 4885745 | 3 | 06/26/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth S Hamada | 2661699 | 2 | 06/10/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Larry David Farish | 2097275 | 3 | 04/03/2003 | Customer Dispute | Settled | $56,371.00 | $0.00 | See FINRA Report |
| Anthony Sebastian Mossa | 2368130 | 1 | 02/14/2003 | Customer Dispute | Settled | $20,595.00 | $0.00 | See FINRA Report |
| 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 |
| Elizabeth Scafa | 4039425 | 1 | 01/03/2003 | Customer Dispute | Settled | $22,000.00 | $0.00 | See FINRA Report |