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 |
|---|---|---|---|---|---|---|---|---|
| Alexander William Lippert | 5871229 | 1 | 06/01/2015 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Stuart Laurence Rosenthal | 1839398 | 2 | 05/29/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gordon Daryl Jaenson | 1510254 | 1 | 04/22/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stuart Quinn Hoshide | 1838860 | 15 | 04/17/2015 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| William Albert Wilkes | 2486272 | 2 | 04/13/2015 | Customer Dispute | Denied | $7,307.37 | $0.00 | See FINRA Report |
| Michael Francis Breslin | 1344207 | 1 | 04/13/2015 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jerry Paul Garceau | 1617919 | 1 | 03/23/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey William Stclair | 1429674 | 2 | 03/13/2015 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Peter Konstantinos Billis | 2680358 | 3 | 03/13/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew Bain Rogers | 4491297 | 1 | 03/10/2015 | Customer Dispute | Settled | $1,627,000.00 | $0.00 | See FINRA Report |