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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Henry Johnson | 1312422 | 6 | 02/12/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Regina Villacorte Frias | 2748727 | 4 | 01/28/2004 | Customer Dispute | Denied | $9,155.29 | $0.00 | See FINRA Report |
| Michael David Ward | 1425173 | 6 | 01/01/2004 | Customer Dispute | Settled | $9,975.00 | $0.00 | See FINRA Report |
| Michael David Ward | 1425173 | 6 | 12/31/2003 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Michael David Ward | 1425173 | 6 | 12/13/2003 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| William Paul Fauzio | 2193834 | 8 | 11/25/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Edward McClure | 2289844 | 4 | 10/08/2003 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Michael Harry Applebaum | 1628443 | 10 | 08/21/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Henry Johnson | 1312422 | 6 | 08/11/2003 | Customer Dispute | Settled | $215,000.00 | $0.00 | See FINRA Report |
| Michael David Ward | 1425173 | 6 | 07/31/2003 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |