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 |
|---|---|---|---|---|---|---|---|---|
| Steven T Kaplan | 4982793 | 1 | 11/16/2007 | Customer Dispute | Settled | $20,807.30 | $0.00 | See FINRA Report |
| Coley Thompson Bellamy | 6241817 | 2 | 10/21/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Diane Hack Gould | 828331 | 2 | 09/20/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph John Fimmano | 2337245 | 1 | 08/28/2007 | Customer Dispute | Denied | $7,282.00 | $0.00 | See FINRA Report |
| Leo Rotman | 4499725 | 2 | 06/12/2007 | Customer Dispute | Closed-No Action | $25,184.70 | $0.00 | See FINRA Report |
| David Paul Brown | 1255624 | 3 | 06/11/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Walter Wynne Lawrence | 6180077 | 1 | 05/01/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Zachary Matthew Wong | 6173543 | 1 | 04/20/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jerome Anthony Timmermann | 1179608 | 3 | 04/19/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alexander Mason | 4947035 | 2 | 03/28/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |