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FINRA Broker Disclosures for

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.

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Displaying 311-320 out of 656 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Angelantonio Freda4896679203/18/2014Customer DisputeSettled$168,000.00$0.00See FINRA Report
Gary Allen Erickson1840712203/13/2014Customer DisputeSettled$23,296.80$0.00See FINRA Report
Marc I Rosenthal4379930202/10/2014Customer DisputeSettled$9,500.00$0.00See FINRA Report
Kermit Roosevelt Griner1070425902/06/2014Customer DisputeSettled$5,507.64$0.00See FINRA Report
Richard Alan Hoberman4299250901/07/2014Judgment / Lien$0.00$0.00See FINRA Report
Scott Paul MacDonald2994054512/02/2013Customer DisputeClosed-No Action$0.00$0.00See FINRA Report
Eric J Brisebois4160820410/24/2013Customer DisputeDenied$13,481.90$0.00See FINRA Report
Faith L Sigler4614699110/15/2013Customer DisputeSettled$0.00$0.00See FINRA Report
Thomas J Kanaley4299839810/02/2013Judgment / Lien$0.00$0.00See FINRA Report
Michael Thomas Damon4501030409/27/2013Customer DisputeSettled$20,240.60$0.00See FINRA Report

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