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 |
|---|---|---|---|---|---|---|---|---|
| G Scott Diddel | 1655242 | 2 | 11/13/2007 | Customer Dispute | Settled | $32,400.00 | $0.00 | See FINRA Report |
| Denise Gabay Otten | 1205920 | 1 | 11/02/2007 | Customer Dispute | Denied | $5,999.32 | $0.00 | See FINRA Report |
| Neil McCarthy Egleston | 2921577 | 6 | 10/19/2007 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Lawrence Nicholas Passaretti | 1191641 | 11 | 10/11/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Timothy James Bodner | 1523944 | 6 | 09/10/2007 | Customer Dispute | Closed-No Action | $28,000.00 | $0.00 | See FINRA Report |
| Bernardo Leo Lira | 1638714 | 1 | 05/30/2007 | Customer Dispute | Denied | $11,135.00 | $0.00 | See FINRA Report |
| Jeffrey Rushworth Hill | 1932790 | 9 | 05/03/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Burl Ferguson | 2899931 | 2 | 05/01/2007 | Customer Dispute | Denied | $12,998.00 | $0.00 | See FINRA Report |
| Loretta Chiofolo | 1213628 | 1 | 04/24/2007 | Customer Dispute | Award / Judgment | $347,984.00 | $182,478.00 | See FINRA Report |
| Charles Eugene Williams | 727212 | 5 | 03/30/2007 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |