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 |
|---|---|---|---|---|---|---|---|---|
| Anthony Joseph Kowalski | 1736228 | 1 | 12/03/2002 | Customer Dispute | Settled | $110,862.00 | $0.00 | See FINRA Report |
| Edward Martin Rosenberg | 1224716 | 9 | 11/20/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Donald Jay Smith | 837936 | 2 | 11/20/2002 | Customer Dispute | Settled | $56,503.00 | $0.00 | See FINRA Report |
| Kandice Michelle Gupta | 2414037 | 2 | 11/17/2002 | Customer Dispute | Settled | $25,584.20 | $0.00 | See FINRA Report |
| Paul Joseph Smith | 2175854 | 1 | 11/13/2002 | Customer Dispute | Settled | $8,970.78 | $0.00 | See FINRA Report |
| Scott Joseph Adams | 2567442 | 3 | 11/05/2002 | Customer Dispute | Settled | $32,236.90 | $0.00 | See FINRA Report |
| John Baek | 3111963 | 2 | 11/02/2002 | Customer Dispute | Settled | $29,215.00 | $0.00 | See FINRA Report |
| David Bruce Hammond | 235308 | 1 | 10/06/2002 | Customer Dispute | Settled | $10,827.00 | $0.00 | See FINRA Report |
| David Kennedy Odell | 1658296 | 2 | 09/04/2002 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Andrew Joseph Mullane | 3222113 | 5 | 08/12/2002 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |