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 |
|---|---|---|---|---|---|---|---|---|
| Raleigh Dayton Ryser | 4439010 | 1 | 11/03/2015 | Customer Dispute | Settled | $29,783.20 | $0.00 | See FINRA Report |
| Geoffrey Michael Tomasetti | 2585622 | 1 | 09/29/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Hoogenboom | 5638954 | 1 | 08/27/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Bernard Baird | 1169945 | 1 | 06/29/2015 | Customer Dispute | Settled | $220,850.00 | $0.00 | See FINRA Report |
| Meredith Vivienne Hazen | 4488477 | 1 | 06/11/2015 | Customer Dispute | Settled | $2,844,400.00 | $0.00 | See FINRA Report |
| Mary E Wagner | 4183071 | 2 | 04/23/2015 | Customer Dispute | Settled | $40,305.00 | $0.00 | See FINRA Report |
| Thomas C McLaurin | 3141296 | 1 | 01/07/2015 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Elisa M Chan | 5730819 | 1 | 12/09/2014 | Customer Dispute | Settled | $8,199.34 | $0.00 | See FINRA Report |
| Donald Morris Kowalsky | 274546 | 4 | 10/24/2014 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Susan Lorraine Tate | 2786689 | 2 | 10/15/2014 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |