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 |
|---|---|---|---|---|---|---|---|---|
| James Edwin Adkins | 2708477 | 3 | 10/11/2004 | Customer Dispute | Denied | $49,800.00 | $0.00 | See FINRA Report |
| Joseph Richard Brida | 1067835 | 3 | 10/05/2004 | Customer Dispute | Settled | $37,600.00 | $0.00 | See FINRA Report |
| David Hannibal Farra | 2066130 | 1 | 09/30/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Ryan Snyder | 5624708 | 1 | 09/24/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Ronald Goodwin | 1531902 | 2 | 08/23/2004 | Customer Dispute | Denied | $93,713.80 | $0.00 | See FINRA Report |
| Kenneth Richard Bakula | 1016897 | 3 | 08/18/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jenny Ong Kho | 1156022 | 3 | 08/05/2004 | Customer Dispute | Denied | $251,326.00 | $0.00 | See FINRA Report |
| William Robert Neville | 346822 | 2 | 08/02/2004 | Customer Dispute | Denied | $12,741.00 | $0.00 | See FINRA Report |
| Leo Rotman | 4499725 | 2 | 07/13/2004 | Customer Dispute | Denied | $241,169.00 | $0.00 | See FINRA Report |
| Serge Tinovsky | 2423709 | 2 | 06/17/2004 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |