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 |
|---|---|---|---|---|---|---|---|---|
| Paul Guy Fimognari | 1225031 | 1 | 08/16/2001 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Louis Mark Prosser | 2142896 | 1 | 07/18/2001 | Customer Dispute | Settled | $17,000.00 | $0.00 | See FINRA Report |
| Tobin John Mergenthaler | 4795660 | 1 | 06/24/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jesse Paul Crispe | 2562512 | 4 | 04/27/2001 | Customer Dispute | Withdrawn | $10,000.00 | $0.00 | See FINRA Report |
| John Joseph Rocco | 815809 | 2 | 04/09/2001 | Customer Dispute | Settled | $70,702.00 | $0.00 | See FINRA Report |
| Rick Kent Stivers | 1927140 | 2 | 03/13/2001 | Customer Dispute | Closed-No Action | $134,142.00 | $0.00 | See FINRA Report |
| Richard John Pinkos | 1160747 | 1 | 02/27/2001 | Customer Dispute | Denied | $25,266.70 | $0.00 | See FINRA Report |
| Samuel Louis Hebert | 2679181 | 7 | 02/21/2001 | Customer Dispute | Denied | $31,500.00 | $0.00 | See FINRA Report |
| Terry Lee Breitbord | 1136087 | 4 | 06/30/2000 | Customer Dispute | Denied | $21,284.60 | $0.00 | See FINRA Report |
| David Charles Hannon | 6302877 | 1 | 02/24/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |