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 |
|---|---|---|---|---|---|---|---|---|
| Brian C Kennedy | 2321416 | 9 | 03/28/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kurt Douglas Cambier | 1392482 | 3 | 12/31/2021 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Alexander Patrick Kline | 1271785 | 10 | 09/15/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Joseph Mauro | 1047937 | 1 | 05/26/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marc A Lopresti | 5248924 | 2 | 03/12/2021 | Customer Dispute | Settled | $142,985.00 | $0.00 | See FINRA Report |
| Scott Edmund Ferguson | 4668142 | 2 | 01/04/2021 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| David Jonathan White | 2606002 | 2 | 10/20/2020 | Customer Dispute | Settled | $80,686.00 | $0.00 | See FINRA Report |
| David J Llewellyn | 5288989 | 1 | 09/19/2020 | Customer Dispute | Settled | $216,000.00 | $0.00 | See FINRA Report |
| Phillip Lloyd Smelser | 2338831 | 2 | 06/29/2020 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| William Perry Randall | 1392233 | 2 | 06/01/2020 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |