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 | 01/11/2010 | Customer Dispute | Settled | $360,000.00 | $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 |
| Rene Henriksen | 2798761 | 6 | 09/17/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Jason Dupont | 4256371 | 3 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Beach | 2239739 | 1 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin F Douglas | 2160517 | 3 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin F Douglas | 2160517 | 3 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin F Douglas | 2160517 | 3 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rene Henriksen | 2798761 | 6 | 05/27/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Dorothy J Dembowski | 4902585 | 1 | 05/07/2009 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |