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 | 06/09/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Harry Applebaum | 1628443 | 10 | 06/04/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Paul Fauzio | 2193834 | 8 | 06/02/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher James Wolfe | 4217247 | 1 | 05/06/2003 | Customer Dispute | Denied | $5,582.18 | $0.00 | See FINRA Report |
| Carl James Holly | 2192542 | 4 | 02/06/2003 | Customer Dispute | Settled | $584,024.00 | $0.00 | See FINRA Report |
| Michael Harry Applebaum | 1628443 | 10 | 12/16/2002 | Customer Dispute | Denied | $196,280.00 | $0.00 | See FINRA Report |
| Jeffrey Bill Baker | 2102752 | 1 | 08/05/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Paul Fauzio | 2193834 | 8 | 08/02/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Aaron Delsignore | 3211462 | 2 | 04/08/2002 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Edward Raymond Mazoyer | 600801 | 3 | 03/26/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |