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 |
| James John Dowling | 4486074 | 2 | 07/20/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Amir Atabaki | 4718016 | 1 | 05/09/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Henry E Crosby | 4897355 | 1 | 04/23/2020 | Customer Dispute | Settled | $100,001.00 | $0.00 | See FINRA Report |
| Robert D Warren | 5993003 | 1 | 03/11/2020 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| William Bartly Wolf | 2235652 | 8 | 02/20/2020 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Ethan Collins | 4469610 | 2 | 02/20/2020 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Andrew Koebel Schwartz | 2725117 | 1 | 01/03/2020 | Customer Dispute | Denied | $35,000.00 | $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 |