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 |
|---|---|---|---|---|---|---|---|---|
| Diane Hack Gould | 828331 | 2 | 02/26/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Phillip Mabey | 6264786 | 1 | 02/24/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph William Lucchino | 1086064 | 1 | 12/27/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin Douglas Gates | 4675932 | 2 | 12/12/2006 | Customer Dispute | Denied | $4,000.00 | $0.00 | See FINRA Report |
| David Francis Keefe | 2355041 | 3 | 12/05/2006 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| David Francis Keefe | 2355041 | 3 | 12/04/2006 | Customer Dispute | Settled | $6,887.58 | $0.00 | See FINRA Report |
| Bradley Dufrane | 2656156 | 3 | 10/25/2006 | Customer Dispute | Denied | $10,800.00 | $0.00 | See FINRA Report |
| Kyle Edward Herrington | 1334767 | 1 | 09/25/2006 | Customer Dispute | Denied | $7,754.00 | $0.00 | See FINRA Report |
| David L Ediger | 2597209 | 4 | 09/12/2006 | Customer Dispute | Closed-No Action | $16,525.00 | $0.00 | See FINRA Report |
| David Francis Keefe | 2355041 | 3 | 08/23/2006 | Customer Dispute | Settled | $16,047.60 | $0.00 | See FINRA Report |