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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Michael Sultan | 835415 | 1 | 10/08/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Francis Clark | 1023741 | 8 | 10/01/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Francis Clark | 1023741 | 8 | 09/16/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrew Lawrence Zorovich | 2753501 | 4 | 08/11/2014 | Customer Dispute | Settled | $105,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Stecher | 2245554 | 7 | 07/17/2014 | Customer Dispute | Denied | $7,813.54 | $0.00 | See FINRA Report |
| Ernest Mark Caponegro | 1025695 | 4 | 05/08/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert William Toth | 1726633 | 11 | 04/29/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Lawrence Lane | 5196009 | 2 | 03/26/2014 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Andrew Lawrence Zorovich | 2753501 | 4 | 03/11/2014 | Customer Dispute | Settled | $103,000.00 | $0.00 | See FINRA Report |
| Brian Grant Brown | 810068 | 3 | 03/03/2014 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |