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 |
|---|---|---|---|---|---|---|---|---|
| Mark David Lea | 2447310 | 1 | 11/24/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Hans Diemer | 67666 | 1 | 11/03/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Dale Collins | 2299365 | 4 | 11/03/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Albert Geoffrey Wade | 1559051 | 3 | 09/27/2010 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Francis Paul Mitchell | 1334998 | 6 | 09/24/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Dominick Palazzolo | 2554194 | 2 | 08/16/2010 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Ward Russell Brickner | 1434842 | 2 | 08/16/2010 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Lawrence Nicholas Passaretti | 1191641 | 11 | 07/26/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Davenport Wiswell | 2313243 | 4 | 07/26/2010 | Customer Dispute | Settled | $59,367.00 | $0.00 | See FINRA Report |
| Dennis Gene McMillin | 1439386 | 1 | 07/02/2010 | Customer Dispute | Settled | $183,000.00 | $0.00 | See FINRA Report |