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 |
|---|---|---|---|---|---|---|---|---|
| Ronald John Kapraun | 2015974 | 2 | 08/06/2013 | Customer Dispute | Withdrawn | $6,700.00 | $0.00 | See FINRA Report |
| Stephen Craig Johnson | 1445785 | 2 | 06/15/2011 | Customer Dispute | Withdrawn | $5,200.00 | $0.00 | See FINRA Report |
| Gary Capaldo | 2539787 | 5 | 02/22/2010 | Customer Dispute | Withdrawn | $50,000.00 | $0.00 | See FINRA Report |
| Andrew Craig Umbach | 4658279 | 1 | 01/28/2010 | Customer Dispute | Withdrawn | $19,920.00 | $0.00 | See FINRA Report |
| Lisa Potts Bauer | 4589837 | 1 | 10/07/2009 | Customer Dispute | Withdrawn | $261,411.00 | $0.00 | See FINRA Report |
| Robert Rosenberg | 4832723 | 1 | 09/30/2009 | Customer Dispute | Withdrawn | $25,000.00 | $0.00 | See FINRA Report |
| Edward Martin Rosenberg | 1224716 | 9 | 09/30/2009 | Customer Dispute | Withdrawn | $25,000.00 | $0.00 | See FINRA Report |
| Harold Andrew Kranick | 2340618 | 1 | 03/27/2009 | Customer Dispute | Withdrawn | $78,253.00 | $0.00 | See FINRA Report |
| David Emanuel Scheur | 2660769 | 2 | 01/16/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Nathan Scott Sanders | 2944988 | 2 | 10/05/2006 | Customer Dispute | Withdrawn | $15,700.00 | $0.00 | See FINRA Report |