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 |
|---|---|---|---|---|---|---|---|---|
| Robert Wallace Scullen | 807388 | 1 | 04/12/2010 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Donald James Traugott | 2498058 | 6 | 11/09/2009 | Customer Dispute | Settled | $73,037.20 | $0.00 | See FINRA Report |
| Thomas Joseph O'Connell | 1686988 | 2 | 02/12/2009 | Customer Dispute | Denied | $81,232.00 | $0.00 | See FINRA Report |
| Steven Russell Clark | 2493200 | 1 | 06/23/2008 | Customer Dispute | Settled | $420,000.00 | $0.00 | See FINRA Report |
| Mauro Michael D'Amico | 4420853 | 1 | 06/13/2007 | Customer Dispute | Settled | $101,377.00 | $0.00 | See FINRA Report |
| Donald James Traugott | 2498058 | 6 | 01/31/2006 | Customer Dispute | Settled | $15,104.20 | $0.00 | See FINRA Report |
| Donald James Traugott | 2498058 | 6 | 01/31/2006 | Customer Dispute | Settled | $5,399.94 | $0.00 | See FINRA Report |
| Donald James Traugott | 2498058 | 6 | 01/31/2006 | Customer Dispute | Settled | $7,673.46 | $0.00 | See FINRA Report |
| James Phillip Winther | 3188240 | 2 | 06/28/2005 | Customer Dispute | Settled | $9,983.69 | $0.00 | See FINRA Report |
| Mark Robert Scherer | 2169683 | 1 | 02/04/2005 | Customer Dispute | Settled | $11,954.50 | $0.00 | See FINRA Report |