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 |
|---|---|---|---|---|---|---|---|---|
| Robert Joseph Fratesi | 1373072 | 3 | 08/23/2021 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Joseph A Gileno | 5878977 | 1 | 08/17/2021 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Jay Sailesh Sheth | 4656009 | 4 | 08/11/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Shane McMillan | 5126963 | 4 | 11/05/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Joshua Dean Rogers | 3163818 | 1 | 04/23/2020 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Frederick Maximilian Kort | 5376727 | 3 | 09/09/2019 | Customer Dispute | Award / Judgment | $1,669,480.00 | $0.00 | See FINRA Report |
| Michael Roy Blueweiss | 728969 | 9 | 11/01/2018 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Anthony Michael Hanley | 4478784 | 2 | 10/29/2018 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Robert Abramowitz | 4437589 | 3 | 07/30/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Ronald Harris Rothchild | 4491932 | 6 | 07/30/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |