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 Paul Fauzio | 2193834 | 8 | 09/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Jay Kaufman | 2386637 | 4 | 06/06/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Margaret Marie Martin | 6724777 | 6 | 09/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory John Mistovich | 823724 | 3 | 07/12/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Margaret Marie Martin | 6724777 | 6 | 04/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Margaret Marie Martin | 6724777 | 6 | 07/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Margaret Marie Martin | 6724777 | 6 | 07/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Margaret Marie Martin | 6724777 | 6 | 06/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy Rouse Brown | 5181977 | 1 | 06/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Paul Fauzio | 2193834 | 8 | 06/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |