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 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 |
| Jerome Stanley Rydell | 408389 | 91 | 03/11/2011 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Lynne Margaret Verdone | 1391136 | 1 | 02/16/2011 | Customer Dispute | Denied | $14,068.50 | $0.00 | See FINRA Report |
| Patrick Michael Kelly | 1258726 | 8 | 02/01/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Shawn Crilley | 1059314 | 1 | 12/20/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Patrick James Welsh | 2605350 | 2 | 10/26/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rakesh Bharti | 4853816 | 1 | 09/10/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Van Washington | 4651656 | 3 | 08/20/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jaime D Hernandez | 2609661 | 3 | 07/23/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |