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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Keith Webster | 2166310 | 1 | 06/01/2001 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Spencer R Strahan | 728124 | 1 | 05/29/2001 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| J. Joseph Lally | 300856 | 1 | 03/26/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Walter Phillip Schlaepfer | 1306585 | 4 | 01/18/2001 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| James F Buckley | 34504 | 2 | 12/07/2000 | Customer Dispute | Award / Judgment | $0.00 | $10,000.00 | See FINRA Report |
| Arif Ahmed | 3099755 | 5 | 09/18/2000 | Customer Dispute | Denied | $57,000.00 | $0.00 | See FINRA Report |
| Rene Henriksen | 2798761 | 6 | 08/04/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |