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 | 07/30/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Rene Henriksen | 2798761 | 6 | 12/11/1998 | Customer Dispute | Award / Judgment | $750,000.00 | $50,000.00 | See FINRA Report |
| Sanah Chung | 2002221 | 1 | 09/16/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael C Morrone | 7421285 | 1 | 06/01/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Jason Dupont | 4256371 | 3 | 12/11/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Jason Dupont | 4256371 | 3 | 02/20/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jon Bull | 4331944 | 1 | 08/13/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |