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 |
|---|---|---|---|---|---|---|---|---|
| Owen Kenji Yamamura | 3172838 | 1 | 03/31/2000 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Richard Lann Farrar | 1010027 | 1 | 03/29/2000 | Customer Dispute | Settled | $22,958.00 | $0.00 | See FINRA Report |
| John George Black | 1448805 | 2 | 03/24/2000 | Customer Dispute | Settled | $7,500.00 | $0.00 | See FINRA Report |
| James V Cairo | 1982356 | 3 | 03/21/2000 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| William Lindley Hoskins | 2138003 | 1 | 03/10/2000 | Customer Dispute | Settled | $54,000.00 | $0.00 | See FINRA Report |
| Robert Alexander Solley | 2079020 | 2 | 01/10/2000 | Customer Dispute | Settled | $30,253.70 | $0.00 | See FINRA Report |
| Leroy Leslie Franck | 2354310 | 3 | 12/21/1999 | Customer Dispute | Settled | $163,565.00 | $0.00 | See FINRA Report |
| David Paul Folino | 1371813 | 4 | 12/02/1999 | Customer Dispute | Settled | $166,021.00 | $0.00 | See FINRA Report |
| William Randolph Nixon | 2193097 | 3 | 11/16/1999 | Customer Dispute | Settled | $5,375.00 | $0.00 | See FINRA Report |
| Samuel David Moss | 718792 | 10 | 09/09/1999 | Customer Dispute | Settled | $4,503,000.00 | $0.00 | See FINRA Report |