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 |
|---|---|---|---|---|---|---|---|---|
| Mark Laurence Guarino | 1307977 | 4 | 07/25/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sean Todd Stein | 1854939 | 1 | 10/22/2002 | Customer Dispute | Award / Judgment | $100,000.00 | $14,000.00 | See FINRA Report |
| Harry John Buckman | 2202467 | 4 | 09/04/2002 | Customer Dispute | Award / Judgment | $250,000.00 | $75,000.00 | See FINRA Report |
| Mark Laurence Guarino | 1307977 | 4 | 08/18/2000 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Patrick Paul Appello | 1290292 | 2 | 01/07/1994 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| George Thomas McCutchen | 326502 | 3 | 01/06/1992 | Customer Dispute | Settled | $62,288.00 | $0.00 | See FINRA Report |
| David Kennett Barrus | 712703 | 1 | 10/15/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alfred Bandeira Veloso | 454069 | 1 | 12/19/1973 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |