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 |
|---|---|---|---|---|---|---|---|---|
| Eric Ganeles | 1256600 | 1 | 05/05/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Angela C Wilcox | 7383300 | 1 | 02/15/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Dominic Croce | 4860533 | 1 | 01/09/2017 | Customer Dispute | Closed-No Action | $35,000.00 | $0.00 | See FINRA Report |
| Maricela Medina Shenouda | 7145657 | 1 | 12/23/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Aaron Scott Buczek | 2838281 | 2 | 10/17/2016 | Customer Dispute | Denied | $3,000,000.00 | $0.00 | See FINRA Report |
| Jason Michael Smith | 2496515 | 3 | 07/18/2016 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Perry John Dufresne | 6127548 | 1 | 02/18/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kymona C Thomas | 6285989 | 1 | 10/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Charles Zelie | 6417742 | 7 | 10/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Charles Zelie | 6417742 | 7 | 06/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |