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 |
|---|---|---|---|---|---|---|---|---|
| Brion Patrick Harris | 3199095 | 9 | 02/28/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Polanski | 1099754 | 1 | 02/22/2011 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| Robert Paul Mount | 2189064 | 1 | 02/07/2011 | Customer Dispute | Settled | $7,600.00 | $0.00 | See FINRA Report |
| John Evan Schooler | 2368308 | 26 | 01/13/2011 | Customer Dispute | Settled | $335,000.00 | $0.00 | See FINRA Report |
| John Evan Schooler | 2368308 | 26 | 01/13/2011 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Gerard George Figari | 1343962 | 5 | 12/30/2010 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Lesley Huberman Sommers | 1043841 | 3 | 12/10/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gary William Holland | 852976 | 6 | 10/04/2010 | Customer Dispute | Settled | $38,060.10 | $0.00 | See FINRA Report |
| Richard Scott Koblick | 5174582 | 2 | 09/13/2010 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Sherman Phillip Ober | 1683236 | 4 | 09/10/2010 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |