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 |
|---|---|---|---|---|---|---|---|---|
| Christopher M Rockey | 5504531 | 1 | 09/13/2022 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Brett Michael Bacon | 6080375 | 3 | 05/25/2022 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Ricky L Bain | 4525494 | 1 | 03/19/2019 | Customer Dispute | Denied | $237,500.00 | $0.00 | See FINRA Report |
| Paul Andrew Lapointe | 1768549 | 1 | 09/01/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Glenn McDaniel | 5147268 | 1 | 11/02/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Herbert Britton | 4515040 | 3 | 05/19/2011 | Customer Dispute | Denied | $10,395.00 | $0.00 | See FINRA Report |
| James A Guyot | 4517834 | 1 | 11/11/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Lee Grossman | 2055510 | 2 | 11/10/2008 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Barry Gene Hickey | 1434453 | 1 | 02/05/2007 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| J Standish Fortin | 3008070 | 4 | 04/04/2003 | Customer Dispute | Denied | $15,194.30 | $0.00 | See FINRA Report |