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 |
|---|---|---|---|---|---|---|---|---|
| John Michael Karafa | 2927594 | 1 | 08/25/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Howard Martin Rothman | 1098190 | 1 | 05/18/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |