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 William Stoecker | 2430351 | 2 | 04/29/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Francisco Carlos Baguer | 723242 | 4 | 03/18/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Bruno Peraza | 2430260 | 3 | 08/23/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richard Hall Leist | 1220798 | 3 | 04/04/2013 | Customer Dispute | Closed-No Action | $5,856.48 | $0.00 | See FINRA Report |
| Dean Anthony Teofilo | 1933005 | 1 | 01/25/2013 | Customer Dispute | Closed-No Action | $11,912.80 | $0.00 | See FINRA Report |
| Robert Joseph Zacharias | 3043115 | 4 | 09/06/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mildred Patubo | 2458479 | 3 | 06/08/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Thomas Henry Maikowski | 1346844 | 3 | 05/02/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Scott Lee Bazata | 5496950 | 1 | 03/01/2011 | Customer Dispute | Closed-No Action | $49,014.20 | $0.00 | See FINRA Report |
| Allan Eugene Rosen | 1146570 | 5 | 03/01/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |