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 |
|---|---|---|---|---|---|---|---|---|
| David Christopher Smith | 3132841 | 2 | 11/07/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Franklin Leone | 1873046 | 4 | 06/29/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Daniel Devicci | 836377 | 1 | 01/05/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harry Appel | 5915532 | 2 | 09/08/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patricia Ivonne Bergman | 3267615 | 2 | 09/08/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Geraci | 2785932 | 1 | 02/24/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Ann Newsome | 4693988 | 1 | 12/10/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William A Fochi | 1773450 | 5 | 09/19/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Brandon Crowley | 4635820 | 1 | 02/07/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Wynn Regitz | 1283719 | 2 | 08/24/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |