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 |
|---|---|---|---|---|---|---|---|---|
| John Joseph Rocco | 815809 | 2 | 11/02/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Tucciariello | 4477613 | 2 | 08/21/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Thomas Maher | 2988295 | 2 | 08/09/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael R Grinnon | 5415857 | 1 | 06/13/2018 | Customer Dispute | Settled | $59,767.20 | $0.00 | See FINRA Report |
| Robin Michelle Wahby | 2107629 | 1 | 06/12/2018 | Customer Dispute | Settled | $39,460.00 | $0.00 | See FINRA Report |
| Jason P Spears | 6041003 | 1 | 06/06/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Michael Webb | 5348995 | 2 | 04/24/2018 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Lucas C Herrington | 5832795 | 1 | 03/28/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Carl Gascho | 5662227 | 1 | 01/30/2018 | Customer Dispute | Settled | $12,900.00 | $0.00 | See FINRA Report |
| Michael Thomas Damon | 4501030 | 4 | 12/22/2017 | Customer Dispute | Settled | $7,069.99 | $0.00 | See FINRA Report |