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 |
|---|---|---|---|---|---|---|---|---|
| Nicholas Low | 5610191 | 1 | 11/16/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Allan Kula | 4629625 | 1 | 06/18/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Charles Potts | 2754636 | 1 | 03/02/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Anthony Destefano | 1980640 | 2 | 10/01/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mitchell Scott Brill | 4244594 | 1 | 10/01/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Giangrande | 2160009 | 1 | 09/29/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James John Dowling | 4486074 | 2 | 09/29/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Joseph McCabe | 2161869 | 1 | 09/10/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Roger Capen Shaffer | 2404126 | 1 | 05/23/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrea Baumann Lustig | 1207387 | 1 | 10/16/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |