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 |
|---|---|---|---|---|---|---|---|---|
| Samuel Louis Hebert | 2679181 | 7 | 01/20/2015 | Customer Dispute | Settled | $36,200.70 | $0.00 | See FINRA Report |
| Monty Alan Alspaugh | 4201153 | 6 | 01/07/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Thomas Polito | 5433956 | 1 | 12/22/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Erick Barone | 5631458 | 1 | 12/08/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Paul Keigan | 4868285 | 1 | 11/14/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Ellison Redfearn | 1205065 | 2 | 10/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dinesh O Saxena | 1970178 | 1 | 10/28/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Pierce Fish | 4476154 | 1 | 10/24/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Ellison Redfearn | 1205065 | 2 | 10/10/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey D Varsa | 4431363 | 1 | 09/22/2014 | Customer Dispute | Denied | $12,877.80 | $0.00 | See FINRA Report |