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 |
|---|---|---|---|---|---|---|---|---|
| Paul Philip Stonge | 859165 | 3 | 05/08/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth David Warnick | 1415675 | 4 | 11/05/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Charles Bittermann | 4153389 | 5 | 02/17/2011 | Employment Separation After Allegations | $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 |
| Kenneth David Warnick | 1415675 | 4 | 05/18/2009 | Employment Separation After Allegations | $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 |
| Edward Salvatore Registrato | 868454 | 1 | 11/01/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |