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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Joseph O'Connell | 1686988 | 2 | 02/12/2009 | Customer Dispute | Denied | $81,232.00 | $0.00 | See FINRA Report |
| Bart Andrew Newman | 5296778 | 2 | 07/03/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Russell Clark | 2493200 | 1 | 06/23/2008 | Customer Dispute | Settled | $420,000.00 | $0.00 | See FINRA Report |
| David Nelson Harper | 2053675 | 2 | 05/20/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Thomas Scalzi | 411967 | 2 | 02/03/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Stanley Harding | 1551790 | 1 | 12/27/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David William Evans | 837870 | 1 | 11/15/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tyler Roy Bruns | 6513725 | 1 | 09/01/2007 | Criminal | Final Disposition | $0.00 | $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 |
| David Brian Blickhan | 5161467 | 1 | 02/27/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |