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 |
|---|---|---|---|---|---|---|---|---|
| William Edward Breagy | 2260295 | 9 | 06/28/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Gray | 2429926 | 2 | 03/01/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Pietro Joseph Passalacqua | 2299676 | 4 | 12/19/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Pietro Joseph Passalacqua | 2299676 | 4 | 12/18/2001 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| William Edward Breagy | 2260295 | 9 | 11/12/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Edward Breagy | 2260295 | 9 | 11/09/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Dennis Clark | 1047496 | 2 | 07/06/2001 | Customer Dispute | Award / Judgment | $1,000,000.00 | $182,000.00 | See FINRA Report |
| William Dennis Clark | 1047496 | 2 | 07/06/2001 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| William Edward Breagy | 2260295 | 9 | 05/15/2001 | Customer Dispute | Settled | $31,352.20 | $0.00 | See FINRA Report |
| William Edward Breagy | 2260295 | 9 | 04/18/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |