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 |
|---|---|---|---|---|---|---|---|---|
| Howard Jeffrey Douglas | 1043662 | 3 | 08/15/2024 | Customer Dispute | Pending | $42,000.00 | $0.00 | See FINRA Report |
| Robert Thomas Crothers | 1648677 | 2 | 07/19/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Steven Frederick McNeilly | 5614719 | 1 | 07/05/2024 | Customer Dispute | Pending | $450,000.00 | $0.00 | See FINRA Report |
| Jason Lawrence Mieras | 2850648 | 4 | 03/22/2024 | Customer Dispute | Settled | $114,000.00 | $0.00 | See FINRA Report |
| Howard Jeffrey Douglas | 1043662 | 3 | 10/24/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason Lawrence Mieras | 2850648 | 4 | 07/21/2023 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Louise Deluca Fallica | 1375433 | 1 | 11/18/2022 | Customer Dispute | Closed-No Action | $210,000.00 | $0.00 | See FINRA Report |
| Richard Lawrence Lane | 5196009 | 2 | 01/21/2021 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Brad Richard Small | 3173556 | 2 | 01/04/2021 | Customer Dispute | Settled | $24,750.00 | $0.00 | See FINRA Report |
| Joseph Shawn McGuire | 4500913 | 2 | 11/16/2020 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |