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 |
|---|---|---|---|---|---|---|---|---|
| Bud Nicol | 2413791 | 1 | 01/28/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael James Penn | 2559058 | 2 | 12/09/2002 | Customer Dispute | Award / Judgment | $142,400.00 | $196,561.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 12/05/2002 | Customer Dispute | Settled | $126,000.00 | $0.00 | See FINRA Report |
| Patrick James Welsh | 2605350 | 2 | 11/15/2002 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Richard Albert Poveromo | 2060002 | 1 | 11/08/2002 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 11/06/2002 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 10/31/2002 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Spiro Voutsaras | 1870353 | 5 | 09/17/2002 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 09/17/2002 | Customer Dispute | Settled | $99,000.00 | $0.00 | See FINRA Report |
| David Leigh Zachrich | 1440719 | 1 | 08/13/2002 | Customer Dispute | Settled | $463,623.00 | $0.00 | See FINRA Report |