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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Robert Walsh | 1856275 | 1 | 09/02/2008 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| Philip James Ricasata | 2585778 | 1 | 06/13/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Anthony Vincent Pressimone | 5003934 | 2 | 06/04/2008 | Customer Dispute | Denied | $275,000.00 | $0.00 | See FINRA Report |
| Lawrence Wilton Warren | 1694288 | 6 | 02/11/2008 | Customer Dispute | Closed-No Action | $9,420.18 | $0.00 | See FINRA Report |
| Lawrence Wilton Warren | 1694288 | 6 | 08/06/2007 | Customer Dispute | Closed-No Action | $14,706.90 | $0.00 | See FINRA Report |
| Lawrence Wilton Warren | 1694288 | 6 | 03/26/2006 | Customer Dispute | Closed-No Action | $56,740.00 | $0.00 | See FINRA Report |
| Randy James Morse | 2378296 | 2 | 07/25/2005 | Customer Dispute | Denied | $212,838.00 | $0.00 | See FINRA Report |
| Timothy Michael Hatton | 1844529 | 1 | 03/27/2004 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Lawrence Wilton Warren | 1694288 | 6 | 02/25/2003 | Customer Dispute | Award / Judgment | $203,846.00 | $30,300.00 | See FINRA Report |
| Randy James Morse | 2378296 | 2 | 05/01/2000 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |