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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Kenneth John Arellano | 2660786 | 4 | 11/05/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Harry Applebaum | 1628443 | 10 | 07/30/2018 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Gale Ann Brodie | 1318619 | 2 | 04/27/2018 | Customer Dispute | Denied | $57,000.00 | $0.00 | See FINRA Report |
| Christopher Edward McClure | 2289844 | 4 | 01/02/2018 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Daniel Hyman Morris | 1046760 | 5 | 03/31/2017 | Customer Dispute | Settled | $961,681.00 | $0.00 | See FINRA Report |
| Stephen Jay Kaufman | 2386637 | 4 | 09/20/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Jay Kaufman | 2386637 | 4 | 09/20/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Philip Michael Scholler | 3230132 | 10 | 05/19/2016 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Michael Harry Applebaum | 1628443 | 10 | 02/11/2016 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Eric Todd Bilitz | 2214828 | 9 | 04/16/2015 | Customer Dispute | Denied | $21,420.00 | $0.00 | See FINRA Report |