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 |
|---|---|---|---|---|---|---|---|---|
| Jesse Maltzman | 3093142 | 3 | 03/25/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John M Powers | 1759078 | 1 | 04/24/2007 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Martin Christopher Bicknell | 2007121 | 2 | 10/11/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William David Hutchens | 2434234 | 1 | 05/09/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Justin L Richter | 6198865 | 1 | 04/27/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael J Bukata | 2506439 | 1 | 07/14/2003 | Customer Dispute | Denied | $154,000.00 | $0.00 | See FINRA Report |
| Kevne Lea Sharpe | 1545866 | 1 | 05/06/2003 | Customer Dispute | Denied | $7,065.00 | $0.00 | See FINRA Report |
| Valerie Lucille Newell | 2229453 | 1 | 09/13/2002 | Customer Dispute | Denied | $39,278.90 | $0.00 | See FINRA Report |
| Timothy Kevin Taylor | 4357648 | 1 | 08/07/2002 | Customer Dispute | Denied | $27,740.00 | $0.00 | See FINRA Report |
| Alisa Anne Roth | 2153484 | 1 | 07/24/2002 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |