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 |
|---|---|---|---|---|---|---|---|---|
| Anthony Custodio | 2546224 | 1 | 03/01/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth J Morris | 4017645 | 2 | 02/05/2008 | Customer Dispute | Denied | $6,680.00 | $0.00 | See FINRA Report |
| Edward Rice | 726550 | 1 | 06/12/2006 | Customer Dispute | Withdrawn | $46,000.00 | $0.00 | See FINRA Report |
| Kieran J Lynch | 2031471 | 2 | 02/06/2006 | Customer Dispute | Denied | $0.00 | $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 |
| James F Buckley | 34504 | 2 | 06/18/2004 | Customer Dispute | Settled | $0.00 | $0.00 | 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 |
| Michael Nelson | 3185886 | 2 | 08/12/2002 | Customer Dispute | Closed-No Action | $52,000.00 | $0.00 | See FINRA Report |
| John P Ver Bockel | 1127089 | 2 | 12/11/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |