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 |
|---|---|---|---|---|---|---|---|---|
| Jerome Stanley Rydell | 408389 | 91 | 08/20/2015 | Customer Dispute | Settled | $406,000.00 | $0.00 | See FINRA Report |
| Adam Charles Peak | 5140404 | 1 | 08/06/2015 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 07/16/2015 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 07/13/2015 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 07/13/2015 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 07/02/2015 | Customer Dispute | Settled | $633,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 06/29/2015 | Customer Dispute | Settled | $4,500,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 06/29/2015 | Customer Dispute | Settled | $745,600.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 05/05/2015 | Customer Dispute | Settled | $321,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 04/22/2015 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |