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 |
|---|---|---|---|---|---|---|---|---|
| William John Nolan | 730316 | 6 | 04/30/2003 | Customer Dispute | Settled | $598,645.00 | $0.00 | See FINRA Report |
| George Herve Blais | 2494315 | 2 | 03/19/2003 | Customer Dispute | Denied | $80,700.00 | $0.00 | See FINRA Report |
| Francis Paul Mitchell | 1334998 | 6 | 03/10/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Curtis Leonard Mazer | 819279 | 8 | 02/12/2003 | Customer Dispute | Settled | $19,000,000.00 | $0.00 | See FINRA Report |
| David James Walsh | 1855452 | 6 | 01/28/2003 | Customer Dispute | Denied | $64,000.00 | $0.00 | See FINRA Report |
| Jeffrey Clayton Baker | 2196181 | 1 | 12/31/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Dean Goedtke | 1987820 | 1 | 12/23/2002 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| William John Nolan | 730316 | 6 | 12/17/2002 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Rushworth Hill | 1932790 | 9 | 12/09/2002 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Armando Fernandez | 3079602 | 6 | 11/29/2002 | Customer Dispute | Denied | $36,322.00 | $0.00 | See FINRA Report |