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 |
|---|---|---|---|---|---|---|---|---|
| George Einar Ray | 734502 | 2 | 12/13/1996 | Customer Dispute | Settled | $62,500.00 | $0.00 | See FINRA Report |
| William John Braun | 1271500 | 4 | 11/18/1996 | Customer Dispute | Award / Judgment | $2,519.00 | $2,519.00 | See FINRA Report |
| Jason N Ginder | 1577288 | 4 | 06/24/1996 | Customer Dispute | Settled | $64,300.00 | $0.00 | See FINRA Report |
| James Allen Tolbert | 728423 | 3 | 05/06/1996 | Customer Dispute | Settled | $19,237.00 | $0.00 | See FINRA Report |
| Michael Anthony Mullen | 1428116 | 2 | 01/18/1996 | Customer Dispute | Award / Judgment | $248,000.00 | $280,582.00 | See FINRA Report |
| Yitzchok Asher Goodman | 1052215 | 6 | 07/25/1995 | Customer Dispute | Award / Judgment | $5,000.00 | $5,000.00 | See FINRA Report |
| Richard Bruce Goldstein | 851676 | 6 | 11/23/1994 | Customer Dispute | Settled | $1,300,000.00 | $0.00 | See FINRA Report |
| Jeffrey Allen Gelber | 1820592 | 4 | 09/01/1994 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| James Allen Tolbert | 728423 | 3 | 10/21/1993 | Customer Dispute | Final | $10,102.00 | $0.00 | See FINRA Report |
| Andrew Barry Grossman | 1288828 | 6 | 06/08/1993 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |