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 |
|---|---|---|---|---|---|---|---|---|
| David William Frederick | 1075196 | 4 | 12/14/2005 | Customer Dispute | Denied | $37,399.90 | $0.00 | See FINRA Report |
| Roger Martin Faulring | 727976 | 16 | 12/05/2005 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Roger Martin Faulring | 727976 | 16 | 11/16/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory George Scrydloff | 2088063 | 3 | 10/26/2005 | Customer Dispute | Denied | $5,579.17 | $0.00 | See FINRA Report |
| Michael Joseph Allan | 1257882 | 1 | 10/17/2005 | Customer Dispute | Settled | $16,000.00 | $0.00 | See FINRA Report |
| Roger Martin Faulring | 727976 | 16 | 09/14/2005 | Customer Dispute | Settled | $769,362.00 | $0.00 | See FINRA Report |
| Michelle Marie Malone | 2472307 | 1 | 08/30/2005 | Customer Dispute | Denied | $155,462.00 | $0.00 | See FINRA Report |
| Roger Martin Faulring | 727976 | 16 | 08/16/2005 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Yitzchok Asher Goodman | 1052215 | 6 | 05/02/2005 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Roger Martin Faulring | 727976 | 16 | 04/25/2005 | Customer Dispute | Settled | $285,000.00 | $0.00 | See FINRA Report |