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 |
| Christopher Lee Cox | 2889383 | 3 | 03/28/2001 | Customer Dispute | Settled | $206,759.00 | $0.00 | See FINRA Report |
| Thomas A Brophy | 1606861 | 2 | 06/01/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |