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 |
|---|---|---|---|---|---|---|---|---|
| Francis Albert Bautz | 3217237 | 2 | 07/13/2001 | Customer Dispute | Closed-No Action | $120,000.00 | $0.00 | See FINRA Report |
| Michael Flynn Ajango | 1273248 | 3 | 07/03/2001 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Sean M Moore | 4314987 | 2 | 06/27/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Andrew | 2240211 | 1 | 01/11/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Brian Goldstein | 4499969 | 1 | 03/20/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Hoyt Hicks | 1272847 | 3 | 05/19/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |