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 Jay Kaufman | 2386637 | 4 | 09/20/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Harry Applebaum | 1628443 | 10 | 02/11/2016 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Stuart Taylor Valentine | 1646981 | 3 | 12/11/2013 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Donna Elizabeth Clifford | 2525280 | 1 | 04/09/2012 | Customer Dispute | Settled | $487,006.00 | $0.00 | See FINRA Report |
| Frank Jerry Fava | 4286445 | 2 | 03/07/2012 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Suzan Luna Jaffe | 4634039 | 1 | 03/25/2011 | Customer Dispute | Settled | $5,377.60 | $0.00 | See FINRA Report |
| Joseph Henry Johnson | 1312422 | 6 | 09/21/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Todd Walker | 2368039 | 4 | 07/13/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brett Ian Goldstein | 3104778 | 3 | 02/27/2010 | Customer Dispute | Settled | $1,675,000.00 | $0.00 | See FINRA Report |
| Janet T Doherty | 2073278 | 3 | 10/26/2009 | Customer Dispute | Settled | $13,335.00 | $0.00 | See FINRA Report |