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 |
|---|---|---|---|---|---|---|---|---|
| James Whitney Story | 2656257 | 5 | 02/27/2006 | Customer Dispute | Pending | $18,000.00 | $0.00 | See FINRA Report |
| Barry Micael Falter | 2255288 | 1 | 11/01/2002 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Dana J Baik | 2344849 | 1 | 06/17/2002 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Harold Francis Puhl | 1045552 | 5 | 02/25/2002 | Customer Dispute | Pending | $800,000.00 | $0.00 | See FINRA Report |
| Michael David Mathias | 1349406 | 21 | 05/29/2001 | Customer Dispute | Pending | $10,000.00 | $0.00 | See FINRA Report |
| Stephen Glen Zahorian | 1628835 | 4 | 11/08/2000 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Fredrick Charles Venturoni | 2030145 | 5 | 12/20/1999 | Customer Dispute | Pending | $60,000.00 | $0.00 | See FINRA Report |
| Thomas Michael Roycroft | 2181465 | 2 | 05/24/1999 | Customer Dispute | Pending | $18,952.00 | $0.00 | See FINRA Report |