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 |
|---|---|---|---|---|---|---|---|---|
| Louise Deluca Fallica | 1375433 | 1 | 11/18/2022 | Customer Dispute | Closed-No Action | $210,000.00 | $0.00 | See FINRA Report |
| Robert Barry Clayton | 1350253 | 1 | 01/17/2018 | Customer Dispute | Closed-No Action | $36,176.80 | $0.00 | See FINRA Report |
| Brian Grant Brown | 810068 | 3 | 08/12/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David James Walsh | 1855452 | 6 | 02/18/2012 | Customer Dispute | Closed-No Action | $35,000.00 | $0.00 | See FINRA Report |
| Adrian Evan Young | 4584675 | 2 | 02/02/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Neil McCarthy Egleston | 2921577 | 6 | 11/02/2011 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Randall Simpson Cole | 832921 | 2 | 05/05/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey James McAvaddy | 4580991 | 3 | 04/26/2010 | Customer Dispute | Closed-No Action | $36,108.50 | $0.00 | See FINRA Report |
| Timothy James Bodner | 1523944 | 6 | 04/14/2010 | Customer Dispute | Closed-No Action | $7,998.00 | $0.00 | See FINRA Report |
| Gregory Dale Collins | 2299365 | 4 | 04/02/2009 | Customer Dispute | Closed-No Action | $18,108.90 | $0.00 | See FINRA Report |