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 |
|---|---|---|---|---|---|---|---|---|
| William Leo Trahan | 1473645 | 1 | 04/17/2003 | Customer Dispute | Settled | $290,258.00 | $0.00 | See FINRA Report |
| Terry William Kerber | 2731254 | 5 | 11/26/2002 | Customer Dispute | Denied | $12,186.00 | $0.00 | See FINRA Report |
| Daniel Jay Cotton | 2103361 | 2 | 10/15/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter Souren Anastasian | 3126096 | 1 | 07/26/2002 | Customer Dispute | Denied | $41,190.20 | $0.00 | See FINRA Report |
| Jose Eleazar Palafox | 2800099 | 1 | 05/04/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| George Joseph Koeltl | 2894410 | 3 | 04/04/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William Sheldon Hart | 2327251 | 2 | 03/21/2002 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Daniel Jay Cotton | 2103361 | 2 | 03/14/2002 | Customer Dispute | Settled | $9,000.00 | $0.00 | See FINRA Report |
| Margaret Mary Webb | 1234589 | 4 | 03/05/2002 | Customer Dispute | Denied | $14,233.00 | $0.00 | See FINRA Report |
| William Mark Dillon | 2233333 | 1 | 02/22/2002 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |