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 Franklin Leone | 1873046 | 4 | 08/08/2014 | Customer Dispute | Award / Judgment | $700,000.00 | $25,000.00 | See FINRA Report |
| Glen Joseph Darmos | 2571615 | 1 | 11/28/2011 | Customer Dispute | Award / Judgment | $1,524,750.00 | $300,000.00 | See FINRA Report |
| Donald Leonhard Hartmann | 1003231 | 4 | 06/12/2009 | Customer Dispute | Award / Judgment | $400,000.00 | $195,132.00 | See FINRA Report |
| Dominique Godfroy Henri Vercaemert | 1021056 | 4 | 04/01/2009 | Customer Dispute | Award / Judgment | $472,047.00 | $43,500.00 | See FINRA Report |
| Ronald Fair Paull | 2968273 | 11 | 04/01/2009 | Customer Dispute | Award / Judgment | $20,113.00 | $10,000.00 | See FINRA Report |
| Bradley Dean See | 731745 | 1 | 06/14/2005 | Customer Dispute | Award / Judgment | $82,587.00 | $15,000.00 | See FINRA Report |
| John Aloysius Locke | 1980843 | 9 | 09/10/2003 | Customer Dispute | Award / Judgment | $170,000.00 | $245,950.00 | See FINRA Report |
| David Gerard Robertson | 1952646 | 2 | 07/08/2003 | Customer Dispute | Award / Judgment | $800,000.00 | $291,475.00 | See FINRA Report |
| Robert Stephen Wood | 2302562 | 2 | 09/20/2001 | Customer Dispute | Award / Judgment | $1,814,470.00 | $0.00 | See FINRA Report |
| Timothy Lyn Ford | 1128151 | 6 | 11/03/1999 | Customer Dispute | Award / Judgment | $150,000.00 | $75,000.00 | See FINRA Report |