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 |
|---|---|---|---|---|---|---|---|---|
| Richard Peter Hveem | 2622370 | 6 | 08/08/2011 | Customer Dispute | Settled | $56,000.00 | $0.00 | See FINRA Report |
| Vijay Leventhal | 4994559 | 1 | 09/30/2010 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Cal Jason Smith | 3099069 | 1 | 09/10/2010 | Customer Dispute | Award / Judgment | $5,030.00 | $5,030.00 | See FINRA Report |
| Sean Michael Logue | 2905209 | 4 | 07/02/2010 | Customer Dispute | Settled | $157,916.00 | $0.00 | See FINRA Report |
| Stephen George Kowalski | 1919574 | 1 | 06/25/2009 | Customer Dispute | Settled | $293,298.00 | $0.00 | See FINRA Report |
| Joshua James Edwards | 4426330 | 2 | 09/26/2008 | Customer Dispute | Settled | $21,982.00 | $0.00 | See FINRA Report |
| Richard Peter Hveem | 2622370 | 6 | 12/08/2003 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Richard Peter Hveem | 2622370 | 6 | 12/20/2002 | Customer Dispute | Closed-No Action | $42,813.00 | $0.00 | See FINRA Report |
| Kevin Kowalczyk | 2262204 | 2 | 10/08/2002 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| David Darcangelo | 1058752 | 1 | 02/17/2002 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |