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 |
|---|---|---|---|---|---|---|---|---|
| Ryan Elliot Shoop | 4522151 | 3 | 01/17/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ryan Elliot Shoop | 4522151 | 3 | 07/25/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| John Lane Obrien | 2238455 | 4 | 04/17/2018 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Stuart Charles Brazie | 2214285 | 1 | 01/27/2017 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Edward Martin Goldberg | 2214416 | 2 | 08/25/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth David Warnick | 1415675 | 4 | 06/14/2010 | Customer Dispute | Award / Judgment | $1,000,000.00 | $200,000.00 | See FINRA Report |
| Peter Charles Bittermann | 4153389 | 5 | 08/20/2009 | Customer Dispute | Settled | $1,619,630.00 | $0.00 | See FINRA Report |
| Peter Charles Bittermann | 4153389 | 5 | 08/20/2009 | Customer Dispute | Settled | $2,133,480.00 | $0.00 | See FINRA Report |
| Kenneth David Warnick | 1415675 | 4 | 06/15/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Charles Bittermann | 4153389 | 5 | 01/20/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |