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 | 11/11/1994 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| James Richard Casey | 2183077 | 2 | 08/22/1994 | Customer Dispute | Settled | $4,000.00 | $0.00 | See FINRA Report |
| Robert Phillip Dibella | 1614429 | 5 | 06/29/1994 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Gerard George Figari | 1343962 | 5 | 06/02/1994 | Customer Dispute | Settled | $77,500.00 | $0.00 | See FINRA Report |
| John Lawrence Brackett | 832912 | 4 | 04/14/1994 | Customer Dispute | Settled | $88,000.00 | $0.00 | See FINRA Report |
| Katherine Burke Flores | 1064168 | 2 | 11/10/1993 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Edward Martin Rosenberg | 1224716 | 9 | 11/04/1993 | Customer Dispute | Settled | $36,750.00 | $0.00 | See FINRA Report |
| Michael Hillel Bergman | 19303 | 1 | 11/01/1993 | Customer Dispute | Settled | $123,963.00 | $0.00 | See FINRA Report |
| Thomas James Ealy | 863042 | 5 | 10/28/1993 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Stanley Wong | 809384 | 23 | 10/21/1993 | Customer Dispute | Settled | $7,044.00 | $0.00 | See FINRA Report |