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 |
|---|---|---|---|---|---|---|---|---|
| Sean M Moore | 4314987 | 2 | 07/24/2014 | Customer Dispute | Settled | $24,829.00 | $0.00 | See FINRA Report |
| James Scott Arnold | 1568254 | 3 | 05/01/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lincoln Paul Kopetski | 3186668 | 1 | 01/04/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter Jerome Mersberger | 2372186 | 4 | 05/18/2011 | Customer Dispute | Denied | $85,000.00 | $0.00 | See FINRA Report |
| Lori Resnick Price | 1305557 | 2 | 10/08/2010 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Lori Resnick Price | 1305557 | 2 | 07/28/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John Franklin Keene | 1811024 | 2 | 06/08/2010 | Customer Dispute | Settled | $14,104.90 | $0.00 | See FINRA Report |
| Joseph James Faux | 3245953 | 1 | 06/08/2010 | Customer Dispute | Settled | $14,104.90 | $0.00 | See FINRA Report |
| Francis Albert Bautz | 3217237 | 2 | 04/21/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| William Montgomery Traer | 3072517 | 1 | 11/24/2008 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |