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 |
|---|---|---|---|---|---|---|---|---|
| Donald Gerard Terns | 725597 | 2 | 11/11/1999 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 11/11/1999 | Customer Dispute | Award / Judgment | $65,000.00 | $10,000.00 | See FINRA Report |
| Alan T W Bau | 702758 | 1 | 11/02/1999 | Customer Dispute | Denied | $5,718.42 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 09/14/1999 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Kent Joseph Spotts | 2241016 | 1 | 03/10/1999 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |
| Mark William Thompson | 840935 | 8 | 10/29/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Michael White | 2316760 | 6 | 10/22/1998 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| Douglas John Hedley | 1067004 | 1 | 09/23/1998 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Donald Gerard Terns | 725597 | 2 | 08/12/1998 | Customer Dispute | Award / Judgment | $0.00 | $43,934.20 | See FINRA Report |
| Mark William Thompson | 840935 | 8 | 03/31/1997 | Customer Dispute | Settled | $215,000.00 | $0.00 | See FINRA Report |