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 |
|---|---|---|---|---|---|---|---|---|
| Richard A Critelli | 5567453 | 2 | 12/06/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard A Critelli | 5567453 | 2 | 07/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Harris Sullivan | 1341663 | 4 | 05/07/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Happle | 1095540 | 3 | 08/26/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Happle | 1095540 | 3 | 12/09/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Happle | 1095540 | 3 | 08/27/2012 | Customer Dispute | Settled | $28,290.00 | $0.00 | See FINRA Report |
| Robert Harris Sullivan | 1341663 | 4 | 10/27/2011 | Customer Dispute | Settled | $9,032.31 | $0.00 | See FINRA Report |
| Louis Meyers Tilchin | 1495823 | 5 | 09/22/2011 | Customer Dispute | Settled | $128,568.00 | $0.00 | See FINRA Report |
| Bruce Frederick Shindelman | 1223306 | 3 | 01/04/2010 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Scott Alan Jaffe | 1536635 | 1 | 10/09/2008 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |