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 |
|---|---|---|---|---|---|---|---|---|
| Keith Zuckerberg | 2313753 | 3 | 07/13/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Edward James Kelly | 2017986 | 4 | 07/12/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Hinckley Nebeker | 4884401 | 1 | 07/10/2012 | Customer Dispute | Settled | $9,683.19 | $0.00 | See FINRA Report |
| Kenneth Richard Bakula | 1016897 | 3 | 06/22/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jerome Anthony Timmermann | 1179608 | 3 | 06/11/2012 | Customer Dispute | Settled | $7,500.00 | $0.00 | See FINRA Report |
| Meredith Cecile Moore | 3233755 | 2 | 05/10/2012 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Austin Russell Bustamante | 5479532 | 3 | 05/07/2012 | Customer Dispute | Settled | $11,710.30 | $0.00 | See FINRA Report |
| Ronald Craig Dickstein | 1942389 | 2 | 04/23/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Wayne L Rector | 4592089 | 2 | 04/17/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Guilherme Pinto Jubran | 5645682 | 1 | 04/17/2012 | Customer Dispute | Settled | $7,838.84 | $0.00 | See FINRA Report |