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 |
|---|---|---|---|---|---|---|---|---|
| Ralph E Derose | 721488 | 4 | 03/15/2016 | Customer Dispute | Award / Judgment | $3,000,000.00 | $1,044,780.00 | See FINRA Report |
| Joshua Robert Barg | 2638740 | 3 | 10/06/2009 | Customer Dispute | Award / Judgment | $4,000,000.00 | $848,248.00 | See FINRA Report |
| Roger Martin Faulring | 727976 | 16 | 03/06/2006 | Customer Dispute | Award / Judgment | $543,603.00 | $685,168.00 | See FINRA Report |
| Stephen Joseph Kennedy | 267895 | 6 | 01/17/2003 | Customer Dispute | Award / Judgment | $89,845.00 | $92,150.00 | See FINRA Report |
| Roger Martin Faulring | 727976 | 16 | 12/30/2002 | Customer Dispute | Award / Judgment | $410,000.00 | $125,000.00 | See FINRA Report |
| Yitzchok Asher Goodman | 1052215 | 6 | 12/03/2002 | Customer Dispute | Award / Judgment | $92,785.00 | $51,988.60 | See FINRA Report |
| Frank Louis Nargentino | 1879020 | 2 | 11/22/2002 | Customer Dispute | Award / Judgment | $940,431.00 | $14,800.00 | See FINRA Report |
| Richard Bruce Goldstein | 851676 | 6 | 06/05/1997 | Customer Dispute | Award / Judgment | $262,743.00 | $112,120.00 | See FINRA Report |
| William John Braun | 1271500 | 4 | 11/18/1996 | Customer Dispute | Award / Judgment | $2,519.00 | $2,519.00 | See FINRA Report |
| Michael Anthony Mullen | 1428116 | 2 | 01/18/1996 | Customer Dispute | Award / Judgment | $248,000.00 | $280,582.00 | See FINRA Report |