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 |
|---|---|---|---|---|---|---|---|---|
| Francis Paul Mitchell | 1334998 | 6 | 02/07/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert William Toth | 1726633 | 11 | 02/04/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lawrence Michael Weiner | 2862071 | 1 | 01/14/2014 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Neil McCarthy Egleston | 2921577 | 6 | 01/02/2014 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| David James Walsh | 1855452 | 6 | 12/30/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Grodko | 1269926 | 3 | 12/11/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Louise Ann Harrison | 1260653 | 2 | 11/26/2013 | Customer Dispute | Settled | $110,735.00 | $0.00 | See FINRA Report |
| Charles Michael Matisi | 2650170 | 3 | 09/11/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Grant Brown | 810068 | 3 | 08/12/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kathleen Marie Roth | 867375 | 5 | 05/24/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |