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 |
|---|---|---|---|---|---|---|---|---|
| Roland Thomas Doubleday | 2775868 | 3 | 08/24/2001 | Customer Dispute | Closed-No Action | $61,564.30 | $0.00 | See FINRA Report |
| Jonathan Gregory Heller | 1183912 | 3 | 08/20/2001 | Customer Dispute | Closed-No Action | $1,000,000.00 | $0.00 | See FINRA Report |
| Tom Arno Stapel | 1054908 | 4 | 06/26/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Stuart Lazar | 1676682 | 2 | 02/02/2001 | Customer Dispute | Closed-No Action | $8,480.00 | $0.00 | See FINRA Report |
| Matthew Philip Havens | 2362578 | 1 | 11/29/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gary Thomas Wargo | 1398450 | 1 | 10/30/1998 | Customer Dispute | Closed-No Action | $17,500.00 | $0.00 | See FINRA Report |
| Robert Charles Stevens | 2470433 | 10 | 08/20/1998 | Customer Dispute | Closed-No Action | $19,000.00 | $0.00 | See FINRA Report |
| John Harrison Graves | 1427158 | 2 | 10/13/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |