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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Patrick Fortin | 2320006 | 1 | 08/30/2024 | Customer Dispute | Pending | $70,000.00 | $0.00 | See FINRA Report |
| Alexander Patrick Kline | 1271785 | 10 | 08/14/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| W Stephen Jones | 867147 | 3 | 07/29/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Richard Joseph Testa | 3152207 | 2 | 06/06/2024 | Customer Dispute | Denied | $604,000.00 | $0.00 | See FINRA Report |
| William Eric Bishoff | 2748073 | 1 | 05/29/2024 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| David Gregory Oblock | 1440692 | 1 | 05/08/2024 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Alexander Patrick Kline | 1271785 | 10 | 05/07/2024 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Kent Reaves Herring | 5417262 | 2 | 05/06/2024 | Customer Dispute | Pending | $15,000.00 | $0.00 | See FINRA Report |
| Vincent J Catalano | 5238819 | 2 | 05/03/2024 | Customer Dispute | Pending | $25,000.00 | $0.00 | See FINRA Report |
| Joshua George Cox | 6137037 | 2 | 04/11/2024 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |