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 Aloysius Finch | 5740372 | 1 | 10/04/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Michael Ayer | 2520471 | 2 | 12/17/2019 | Customer Dispute | Final | $170,000.00 | $0.00 | See FINRA Report |
| Christopher James Doran | 4428685 | 1 | 12/10/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Megan Theresa Grandmaison | 7016974 | 1 | 11/21/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric C Hanson | 2574458 | 1 | 08/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Allan McFeeley | 1478424 | 3 | 03/30/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William F Naegely | 5422409 | 5 | 03/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William F Naegely | 5422409 | 5 | 03/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William F Naegely | 5422409 | 5 | 03/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William F Naegely | 5422409 | 5 | 03/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |