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 |
|---|---|---|---|---|---|---|---|---|
| Scott Alan Plamondon | 2349053 | 2 | 04/11/2011 | Customer Dispute | Settled | $5,625,000.00 | $0.00 | See FINRA Report |
| Charles Joseph Ramos | 1613649 | 4 | 09/23/2010 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Bernard Patrick McGloin | 7062941 | 1 | 09/01/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Darin Albert Simonian | 2214836 | 1 | 03/03/2010 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Carolyn Her Chi Sheu | 2784861 | 1 | 07/06/2009 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Scott Alan Plamondon | 2349053 | 2 | 06/29/2009 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| William Burk Rosenthal | 2030765 | 1 | 04/28/2009 | Customer Dispute | Award / Judgment | $500,000.00 | $52,600.00 | See FINRA Report |
| Jameson Alan van Houten | 2771800 | 2 | 02/26/2009 | Customer Dispute | Denied | $508,900.00 | $0.00 | See FINRA Report |
| Michael Roger Diephouse | 4457350 | 1 | 01/29/2009 | Customer Dispute | Denied | $65,543.20 | $0.00 | See FINRA Report |
| Brian Alexander Bengry | 4003547 | 2 | 05/14/2008 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |