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 |
|---|---|---|---|---|---|---|---|---|
| Steven Edwin Roeth | 5012688 | 1 | 11/19/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Anthony Sutkaitis | 4496466 | 3 | 06/11/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Craig Andrew Roncaioli | 1383311 | 1 | 12/16/2007 | Customer Dispute | Closed-No Action | $7,055.43 | $0.00 | See FINRA Report |
| Evonne Ianacone Ryan | 2112010 | 1 | 09/24/2004 | Customer Dispute | Settled | $240,012.00 | $0.00 | See FINRA Report |
| Gene Isao Watanabe | 1183475 | 1 | 03/10/1995 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |