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 |
|---|---|---|---|---|---|---|---|---|
| Marc I Rosenthal | 4379930 | 2 | 09/09/2019 | Customer Dispute | Denied | $76,000.00 | $0.00 | See FINRA Report |
| John Anthony Forte | 1763155 | 1 | 08/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kathleen Carey Fox | 3206329 | 1 | 08/05/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shannon Jo Kimmel | 7005809 | 2 | 07/24/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shannon Jo Kimmel | 7005809 | 2 | 07/24/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Chester Capurso | 4525061 | 1 | 07/11/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Curtis Medairy | 1219555 | 4 | 07/09/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Monty Alan Alspaugh | 4201153 | 6 | 06/07/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sanjeev Segan | 5457378 | 2 | 06/05/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joyce J Yoo | 5662648 | 1 | 04/22/2019 | Customer Dispute | Denied | $22,931.80 | $0.00 | See FINRA Report |