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 |
|---|---|---|---|---|---|---|---|---|
| Walter Phillip Schlaepfer | 1306585 | 4 | 04/05/2011 | Customer Dispute | Award / Judgment | $2,500,000.00 | $1,100,000.00 | See FINRA Report |
| Walter Phillip Schlaepfer | 1306585 | 4 | 07/26/2010 | Customer Dispute | Award / Judgment | $1,000,000.00 | $0.00 | See FINRA Report |
| Walter Phillip Schlaepfer | 1306585 | 4 | 12/01/2009 | Customer Dispute | Award / Judgment | $1,700,000.00 | $0.00 | See FINRA Report |
| Maureen A Flanagan | 2549556 | 1 | 11/15/2004 | Customer Dispute | Award / Judgment | $11,192,000.00 | $875,000.00 | See FINRA Report |
| John P Ver Bockel | 1127089 | 2 | 01/21/2003 | Customer Dispute | Award / Judgment | $350,000.00 | $425,294.00 | See FINRA Report |
| Maureen Raihle | 1780412 | 1 | 01/21/2003 | Customer Dispute | Award / Judgment | $350,000.00 | $425,294.00 | See FINRA Report |
| James F Buckley | 34504 | 2 | 12/07/2000 | Customer Dispute | Award / Judgment | $0.00 | $10,000.00 | See FINRA Report |
| Rene Henriksen | 2798761 | 6 | 12/11/1998 | Customer Dispute | Award / Judgment | $750,000.00 | $50,000.00 | See FINRA Report |