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 |
|---|---|---|---|---|---|---|---|---|
| Mark William Thompson | 840935 | 8 | 02/27/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard William Leidal | 1215703 | 3 | 12/21/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jaime D Hernandez | 2609661 | 3 | 10/31/2012 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Kevin Christopher O'Neill | 4464218 | 1 | 10/17/2012 | Customer Dispute | Denied | $25,173.00 | $0.00 | See FINRA Report |
| David Michael White | 2316760 | 6 | 05/25/2012 | Customer Dispute | Denied | $113,000.00 | $0.00 | See FINRA Report |
| Kent Stuart Waugh | 3187333 | 1 | 02/20/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jaime D Hernandez | 2609661 | 3 | 05/11/2011 | Customer Dispute | Denied | $600.00 | $0.00 | See FINRA Report |
| Michael James Penn | 2559058 | 2 | 04/07/2011 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Spiro Voutsaras | 1870353 | 5 | 04/06/2011 | Customer Dispute | Denied | $330,000.00 | $0.00 | See FINRA Report |
| Lynne Margaret Verdone | 1391136 | 1 | 02/16/2011 | Customer Dispute | Denied | $14,068.50 | $0.00 | See FINRA Report |