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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Michael Kelly | 1258726 | 8 | 02/01/2016 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 01/11/2016 | Customer Dispute | Settled | $905,000.00 | $0.00 | See FINRA Report |
| Stephen Eric Nichols | 2456067 | 3 | 09/29/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jerome Stanley Rydell | 408389 | 91 | 09/01/2015 | Customer Dispute | Settled | $115,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 09/01/2015 | Customer Dispute | Settled | $269,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 09/01/2015 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| 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 |