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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Barry Grossman | 1288828 | 6 | 08/20/1998 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| James Baroutas | 1252613 | 4 | 04/14/1998 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Boyd John Klingler | 1294692 | 1 | 11/10/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Bruce Goldstein | 851676 | 6 | 06/05/1997 | Customer Dispute | Award / Judgment | $262,743.00 | $112,120.00 | See FINRA Report |
| Albert May Alexander | 1934569 | 2 | 04/10/1997 | Customer Dispute | Settled | $167,830.00 | $0.00 | See FINRA Report |
| 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 |