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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Joseph Kennedy | 267895 | 6 | 01/07/1988 | Customer Dispute | Settled | $163,000.00 | $0.00 | See FINRA Report |
| Andrew Barry Grossman | 1288828 | 6 | 01/01/1988 | Customer Dispute | Award / Judgment | $820.00 | $820.00 | See FINRA Report |
| James Baroutas | 1252613 | 4 | 12/11/1986 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William John Braun | 1271500 | 4 | 06/24/1986 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Alan Wright | 4543246 | 1 | 12/12/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Shepard Waits | 864112 | 1 | 11/29/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Allison Barbara Clago | 1193764 | 3 | 12/28/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dominick Anthony Ciocia | 1751317 | 2 | 08/09/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |