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 |
|---|---|---|---|---|---|---|---|---|
| Steven Craig Behrle | 1213354 | 2 | 11/08/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Malachy Cully | 1423747 | 7 | 11/01/2001 | Customer Dispute | Denied | $20,312.20 | $0.00 | See FINRA Report |
| Robert Theodore Runnfeldt | 1949914 | 4 | 09/13/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Stuart Conley | 2765493 | 2 | 07/31/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mary Donna Stone | 1036582 | 1 | 07/25/2001 | Customer Dispute | Denied | $13,255.00 | $0.00 | See FINRA Report |
| Robert Allan Mann | 2847134 | 3 | 06/19/2001 | Customer Dispute | Settled | $185,000.00 | $0.00 | See FINRA Report |
| Stephen Joseph Kennedy | 267895 | 6 | 05/17/2001 | Customer Dispute | Settled | $1,070,950.00 | $0.00 | See FINRA Report |
| Jorge Christian Chain | 1525146 | 1 | 03/28/2001 | Customer Dispute | Settled | $10,540.00 | $0.00 | See FINRA Report |
| Ralph E Derose | 721488 | 4 | 03/23/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Russell Edwin Herman | 243857 | 2 | 03/13/2001 | Customer Dispute | Denied | $270,538.00 | $0.00 | See FINRA Report |