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 |
|---|---|---|---|---|---|---|---|---|
| Maxwell Douglas Peckler | 2391251 | 6 | 11/07/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Inserra | 1664258 | 3 | 09/20/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Walter Phillip Schlaepfer | 1306585 | 4 | 04/05/2011 | Customer Dispute | Award / Judgment | $2,500,000.00 | $1,100,000.00 | See FINRA Report |
| Joel Kaufman | 827154 | 1 | 11/03/2010 | Customer Dispute | Settled | $612,360.00 | $0.00 | See FINRA Report |
| Maxwell Douglas Peckler | 2391251 | 6 | 09/07/2010 | Customer Dispute | Closed-No Action | $300,000.00 | $0.00 | See FINRA Report |
| Sam C Schoner | 1928356 | 3 | 08/16/2010 | Customer Dispute | Settled | $351,136.00 | $0.00 | See FINRA Report |
| Walter Phillip Schlaepfer | 1306585 | 4 | 07/26/2010 | Customer Dispute | Award / Judgment | $1,000,000.00 | $0.00 | See FINRA Report |
| Steve Condos | 2064521 | 2 | 04/22/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steve Condos | 2064521 | 2 | 02/05/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Maxwell Douglas Peckler | 2391251 | 6 | 02/02/2010 | Customer Dispute | Settled | $113,750.00 | $0.00 | See FINRA Report |