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 |
|---|---|---|---|---|---|---|---|---|
| Michael Harry Applebaum | 1628443 | 10 | 01/27/1998 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Carl James Holly | 2192542 | 4 | 06/21/1996 | Customer Dispute | Settled | $10,500.00 | $0.00 | See FINRA Report |
| Michael David Ward | 1425173 | 6 | 05/08/1995 | Customer Dispute | Award / Judgment | $165,000.00 | $29,822.60 | See FINRA Report |
| Carl James Holly | 2192542 | 4 | 05/01/1995 | Customer Dispute | Settled | $39,000.00 | $0.00 | See FINRA Report |
| Daniel Hyman Morris | 1046760 | 5 | 02/05/1995 | Customer Dispute | Settled | $23,812.00 | $0.00 | See FINRA Report |
| Edward Raymond Mazoyer | 600801 | 3 | 09/15/1993 | Customer Dispute | Award / Judgment | $44,969.40 | $20,443.00 | See FINRA Report |
| Daniel Hyman Morris | 1046760 | 5 | 05/01/1992 | Customer Dispute | Settled | $935,397.00 | $0.00 | See FINRA Report |
| Daniel Hyman Morris | 1046760 | 5 | 10/10/1991 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Daniel Hyman Morris | 1046760 | 5 | 01/02/1988 | Customer Dispute | Settled | $32,000.00 | $0.00 | See FINRA Report |
| Edward Raymond Mazoyer | 600801 | 3 | 08/01/1987 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |