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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Gregory Shirk | 5712039 | 1 | 04/04/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Lawrence Brown | 846431 | 6 | 12/12/2012 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Stephen Lawrence Brown | 846431 | 6 | 06/10/2012 | Customer Dispute | Settled | $1,343,990.00 | $0.00 | See FINRA Report |
| Kimberly Lynn Steinbrenner | 5690153 | 1 | 10/27/2011 | Customer Dispute | Denied | $7,485.00 | $0.00 | See FINRA Report |
| 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 |
| James Arthur Steinbrenner | 1225845 | 3 | 12/17/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |