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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Steve Kocsis | 4787057 | 2 | 01/28/2013 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| David Ashby Chrisman | 1260526 | 4 | 01/02/2013 | Customer Dispute | Settled | $73,500.00 | $0.00 | See FINRA Report |
| Carlos Manuel Oliveira | 2986003 | 1 | 11/13/2012 | Customer Dispute | Settled | $456,270.00 | $0.00 | See FINRA Report |
| Michael Anthony Pasvantis | 4281623 | 1 | 10/09/2012 | Customer Dispute | Settled | $115,000.00 | $0.00 | See FINRA Report |
| Ann Holland Stewart | 2388888 | 2 | 09/28/2012 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| David Edmund Lenda | 2075490 | 1 | 09/27/2012 | Customer Dispute | Settled | $138,707.00 | $0.00 | See FINRA Report |
| James Ernest Joly | 2193463 | 8 | 08/20/2012 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Harvey Allen Reiner | 3197022 | 1 | 06/29/2012 | Customer Dispute | Settled | $103,000.00 | $0.00 | See FINRA Report |
| Matthew Steve Kocsis | 4787057 | 2 | 04/30/2012 | Customer Dispute | Settled | $44,800.00 | $0.00 | See FINRA Report |
| Robert Joseph Courter | 854890 | 2 | 04/24/2012 | Customer Dispute | Settled | $78,000.00 | $0.00 | See FINRA Report |