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 |
|---|---|---|---|---|---|---|---|---|
| Lester Marion Wolf | 2341779 | 1 | 11/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Ramos | 2489461 | 1 | 11/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Alan Hoberman | 4299250 | 9 | 11/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gerardo Ramirez | 5744273 | 1 | 11/06/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Janine Marie Ruland | 4969604 | 3 | 11/05/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Joseph Rocco | 815809 | 2 | 11/02/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Curtis Medairy | 1219555 | 4 | 11/01/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas J Kanaley | 4299839 | 8 | 10/24/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Edward Schwalbe | 2741086 | 2 | 10/15/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Monzur Alam Mollah | 2775732 | 1 | 10/05/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |