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 Marius Russo | 2659139 | 1 | 11/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Vahala | 2549991 | 3 | 11/08/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Angelo Auteri | 2390615 | 9 | 11/07/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Angelo Auteri | 2390615 | 9 | 11/07/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Francis Anthony Franco | 6716121 | 1 | 11/01/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Seungjin Seok | 6083726 | 1 | 10/15/2019 | Customer Dispute | Denied | $21,072.30 | $0.00 | See FINRA Report |
| Osvaldo Gutierrez | 5755380 | 1 | 10/15/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jerome Anthony Timmermann | 1179608 | 3 | 10/09/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alexandra Marie Carney | 6263470 | 1 | 09/13/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Paul James Crookston | 4809475 | 1 | 09/12/2019 | Customer Dispute | Denied | $5,377.52 | $0.00 | See FINRA Report |