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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Philip Sarappo | 1868768 | 2 | 08/02/2011 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Conor Gerard Casey | 1777471 | 2 | 04/12/2011 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Stephen Lawrence Brown | 846431 | 6 | 02/11/2011 | Customer Dispute | Settled | $307,000.00 | $0.00 | See FINRA Report |
| Joseph Philip Sarappo | 1868768 | 2 | 10/29/2009 | Customer Dispute | Settled | $65,580.40 | $0.00 | See FINRA Report |
| John Carter Forbes | 706054 | 3 | 08/19/2009 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |
| Cheryl Lynn Germany-Higgins | 3055039 | 2 | 05/05/2008 | Customer Dispute | Settled | $1,050,000.00 | $0.00 | See FINRA Report |
| Cheryl Lynn Germany-Higgins | 3055039 | 2 | 02/25/2008 | Customer Dispute | Denied | $40,110.40 | $0.00 | See FINRA Report |
| Larry Neil Goddard | 2748995 | 6 | 07/05/2006 | Customer Dispute | Closed-No Action | $27,014.00 | $0.00 | See FINRA Report |
| Dennis Richard Tierney | 702349 | 2 | 09/21/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Robert Nall | 2528568 | 5 | 03/16/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |