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 |
|---|---|---|---|---|---|---|---|---|
| Thomas A Brophy | 1606861 | 2 | 02/12/2019 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Tyler Brooks Corn | 5526323 | 1 | 06/14/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Joseph Mandell | 2404177 | 2 | 11/15/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Lee Cox | 2889383 | 3 | 02/25/2003 | Customer Dispute | Closed-No Action | $42,663.10 | $0.00 | See FINRA Report |
| Christopher Lee Cox | 2889383 | 3 | 03/28/2001 | Customer Dispute | Settled | $206,759.00 | $0.00 | See FINRA Report |
| Christopher Lee Cox | 2889383 | 3 | 05/04/2000 | Customer Dispute | Denied | $11,916.80 | $0.00 | See FINRA Report |
| Thomas A Brophy | 1606861 | 2 | 06/01/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Joseph Mandell | 2404177 | 2 | 02/12/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |