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 |
|---|---|---|---|---|---|---|---|---|
| Donald Edward Lippencott | 1235643 | 4 | 11/25/2002 | Customer Dispute | Denied | $106,000.00 | $0.00 | See FINRA Report |
| Michael Bruce Dwyer | 5539397 | 1 | 11/21/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bradley Dufrane | 2656156 | 3 | 10/29/2002 | Customer Dispute | Settled | $18,959.70 | $0.00 | See FINRA Report |
| Eliseo Fuentes | 7796857 | 1 | 08/23/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Thomas Mindak | 1752357 | 1 | 07/18/2002 | Customer Dispute | Denied | $24,764.70 | $0.00 | See FINRA Report |
| Vincent Robert Spaniolo | 3052815 | 1 | 07/11/2002 | Customer Dispute | Denied | $6,390.56 | $0.00 | See FINRA Report |
| Kenneth Dean Price | 5520853 | 2 | 06/25/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Craig Dickstein | 1942389 | 2 | 05/31/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christopher Wells Battersby | 1704836 | 1 | 05/24/2002 | Customer Dispute | Settled | $113,886.00 | $0.00 | See FINRA Report |
| Alice Gail Gabrelian | 1266490 | 1 | 05/10/2002 | Customer Dispute | Settled | $13,882.20 | $0.00 | See FINRA Report |