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 |
|---|---|---|---|---|---|---|---|---|
| Carl James Holly | 2192542 | 4 | 01/22/2002 | Customer Dispute | Settled | $115,000.00 | $0.00 | See FINRA Report |
| Brett Ian Goldstein | 3104778 | 3 | 01/01/2002 | Customer Dispute | Withdrawn | $49,000.00 | $0.00 | See FINRA Report |
| Regina Villacorte Frias | 2748727 | 4 | 11/20/2001 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Stephen Todd Walker | 2368039 | 4 | 05/08/2001 | Customer Dispute | Settled | $81,000.00 | $0.00 | See FINRA Report |
| Michael Harry Applebaum | 1628443 | 10 | 04/16/2001 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Nicole Brielle Simpson | 2153564 | 3 | 05/12/2000 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Jack Chite | 1160338 | 1 | 03/20/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Albert Michael D'Amato | 2630045 | 2 | 09/18/1999 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| William Paul Fauzio | 2193834 | 8 | 04/26/1999 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Gregory John Mistovich | 823724 | 3 | 11/20/1998 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |