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 |
|---|---|---|---|---|---|---|---|---|
| Shawn M Devillier | 1730798 | 7 | 02/04/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Timothy Mark Harrison | 1929852 | 1 | 12/19/2003 | Customer Dispute | Denied | $72,145.10 | $0.00 | See FINRA Report |
| Garrett Joseph Smoke | 2969126 | 1 | 12/18/2003 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Roger Martin Faulring | 727976 | 16 | 08/06/2003 | Customer Dispute | Settled | $163,038.00 | $0.00 | See FINRA Report |
| David William Frederick | 1075196 | 4 | 08/05/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Leszek Julian Michniewicz | 3087346 | 2 | 07/28/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew Barry Grossman | 1288828 | 6 | 07/02/2003 | Customer Dispute | Settled | $111,991.00 | $0.00 | See FINRA Report |
| Shawn M Devillier | 1730798 | 7 | 06/01/2003 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| William David Morrison | 1556786 | 2 | 03/11/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Joseph Kennedy | 267895 | 6 | 02/19/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |