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 |
|---|---|---|---|---|---|---|---|---|
| Michael David Mathias | 1349406 | 21 | 04/22/1996 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Scott David Horner | 2059483 | 1 | 04/01/1996 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| James Richard Casey | 2183077 | 2 | 03/14/1996 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Timothy Joseph Schwertmann | 1291661 | 1 | 01/03/1996 | Customer Dispute | Settled | $32,800.00 | $0.00 | See FINRA Report |
| Paul Richard Ried | 1522408 | 1 | 11/13/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Tarantino | 1268379 | 7 | 10/12/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael David Mathias | 1349406 | 21 | 10/09/1995 | Customer Dispute | Settled | $471,000.00 | $0.00 | See FINRA Report |
| Michael David Mathias | 1349406 | 21 | 09/27/1995 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| John Joseph Karpinsky | 1745643 | 5 | 08/15/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Julie Melton Simmons | 1059710 | 2 | 07/24/1995 | Customer Dispute | Settled | $20,632.10 | $0.00 | See FINRA Report |