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 |
|---|---|---|---|---|---|---|---|---|
| Jameson Alan van Houten | 2771800 | 2 | 07/11/2022 | Customer Dispute | Settled | $570,000.00 | $0.00 | See FINRA Report |
| Samuel Dale Mitchell | 4412198 | 3 | 02/24/2021 | Customer Dispute | Settled | $183,597.00 | $0.00 | See FINRA Report |
| Daniel Ray Saur | 2424518 | 3 | 01/12/2017 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Daniel Ray Saur | 2424518 | 3 | 11/09/2015 | Customer Dispute | Settled | $100,001.00 | $0.00 | See FINRA Report |
| Marc Steven Wolff | 2339538 | 1 | 10/01/2014 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Raymond Ambrose Daigle | 4206671 | 1 | 06/23/2014 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Brian Lawrence Coughlan | 2254972 | 1 | 06/12/2012 | Customer Dispute | Settled | $1,400,000.00 | $0.00 | See FINRA Report |
| 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 |