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 |
|---|---|---|---|---|---|---|---|---|
| Harry John Buckman | 2202467 | 4 | 09/13/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Laurence Guarino | 1307977 | 4 | 08/02/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brent Jason Greninger | 5810070 | 2 | 12/17/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brent Jason Greninger | 5810070 | 2 | 09/20/2021 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Mark Laurence Guarino | 1307977 | 4 | 10/27/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| George Thomas McCutchen | 326502 | 3 | 08/14/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Harry John Buckman | 2202467 | 4 | 04/25/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Paul Appello | 1290292 | 2 | 11/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Harry John Buckman | 2202467 | 4 | 07/25/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| George Thomas McCutchen | 326502 | 3 | 11/03/2014 | Customer Dispute | Settled | $10,822.00 | $0.00 | See FINRA Report |