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 |
|---|---|---|---|---|---|---|---|---|
| Michael Lawrence Weintraub | 462090 | 2 | 07/26/2010 | Customer Dispute | Denied | $81,213.00 | $0.00 | See FINRA Report |
| Eric Wilford Bond | 2979826 | 2 | 02/16/2010 | Customer Dispute | Award / Judgment | $4,720.00 | $4,720.00 | See FINRA Report |
| Michael Lawrence Weintraub | 462090 | 2 | 01/12/2010 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| Kevin Thomas Ryan | 4255125 | 2 | 03/10/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cynthia Nowicki Moore | 2463528 | 1 | 11/19/2008 | Customer Dispute | Closed-No Action | $5,800.00 | $0.00 | See FINRA Report |
| William Monfils Upson | 1241673 | 2 | 02/28/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jane An | 4683148 | 2 | 02/04/2008 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| Jane An | 4683148 | 2 | 01/28/2008 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Jim McNair Stewart | 436305 | 1 | 10/01/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Micheal Masaaki Ono | 2519655 | 2 | 08/03/2006 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |