Our Staff has compiled our research into a database of FINRA Broker Disclosures for XML Securities. 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 |
|---|---|---|---|---|---|---|---|---|
| Steven Farnham Collins | 2367431 | 1 | 07/22/2016 | Customer Dispute | Denied | $24,350.00 | $0.00 | See FINRA Report |
| John Eric Wightman | 2769487 | 1 | 08/23/2014 | Customer Dispute | Denied | $10,815.20 | $0.00 | See FINRA Report |
| John Richard May | 872582 | 1 | 11/03/2008 | Customer Dispute | Closed-No Action | $25,205.00 | $0.00 | See FINRA Report |
| Brett Shane Bernstein | 3103034 | 1 | 12/20/2003 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Curtis Jeffrey Congdon | 4890245 | 1 | 10/10/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David B Margulies | 1629190 | 1 | 04/21/1992 | Customer Dispute | Settled | $27,704.00 | $0.00 | See FINRA Report |