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 |
|---|---|---|---|---|---|---|---|---|
| Fredrick Thomas Wollman | 719555 | 5 | 04/27/1990 | Customer Dispute | Settled | $58,000.00 | $0.00 | See FINRA Report |
| Timothy Charles Negro | 1280424 | 4 | 02/21/1990 | Customer Dispute | Settled | $36,000.00 | $0.00 | See FINRA Report |
| David Allen Jaffa | 256796 | 4 | 08/31/1989 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Wayne Ewing | 1175958 | 2 | 07/18/1989 | Customer Dispute | Award / Judgment | $145,000.00 | $31,500.00 | See FINRA Report |
| Jeffrey Richard Secord | 417775 | 1 | 06/01/1989 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Ward David Goldberg | 1325743 | 3 | 11/17/1988 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Harold Francis Puhl | 1045552 | 5 | 10/01/1988 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |
| David Benton Moore | 1008089 | 6 | 08/15/1988 | Customer Dispute | Award / Judgment | $50,000.00 | $12,500.00 | See FINRA Report |
| Douglas James Propeck | 1470266 | 2 | 04/13/1988 | Customer Dispute | Settled | $418,000.00 | $0.00 | See FINRA Report |
| Rodney Clarke Jones | 1111094 | 3 | 03/03/1988 | Customer Dispute | Settled | $95,398.20 | $0.00 | See FINRA Report |