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 D Wiggins | 4460867 | 1 | 06/01/2015 | Customer Dispute | Settled | $22,013.00 | $0.00 | See FINRA Report |
| Sean Aaron Andersen | 5807487 | 1 | 05/19/2015 | Customer Dispute | Settled | $7,941.00 | $0.00 | See FINRA Report |
| Samuel Louis Hebert | 2679181 | 7 | 02/06/2015 | Customer Dispute | Settled | $127,912.00 | $0.00 | See FINRA Report |
| Samuel Louis Hebert | 2679181 | 7 | 01/20/2015 | Customer Dispute | Settled | $36,200.70 | $0.00 | See FINRA Report |
| Michael Thomas Polito | 5433956 | 1 | 12/22/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Samuel Louis Hebert | 2679181 | 7 | 09/12/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brendan Geggatt | 5864724 | 1 | 06/24/2014 | Customer Dispute | Settled | $10,635.00 | $0.00 | See FINRA Report |
| Harris Eliot Kagan | 1439997 | 1 | 04/14/2014 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Angelantonio Freda | 4896679 | 2 | 03/18/2014 | Customer Dispute | Settled | $168,000.00 | $0.00 | See FINRA Report |
| Gary Allen Erickson | 1840712 | 2 | 03/13/2014 | Customer Dispute | Settled | $23,296.80 | $0.00 | See FINRA Report |