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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Joshua George Cox | 6137037 | 2 | 04/11/2024 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Janice Marie Johnson | 3220679 | 1 | 04/10/2024 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Eric Lee Jay | 1784087 | 1 | 12/22/2023 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Scott Arthur Layeux | 2017756 | 1 | 12/21/2023 | Customer Dispute | Denied | $211,000.00 | $0.00 | See FINRA Report |
| Anthony Louis Szymborski | 4131253 | 2 | 12/21/2023 | Customer Dispute | Denied | $211,000.00 | $0.00 | See FINRA Report |
| Jacquelyn Marie Pasciak | 2915143 | 1 | 10/10/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |