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 |
|---|---|---|---|---|---|---|---|---|
| Dean B Livingston | 1637728 | 18 | 07/24/2009 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Dean B Livingston | 1637728 | 18 | 07/24/2009 | Customer Dispute | Settled | $2,040,000.00 | $0.00 | See FINRA Report |
| Dean B Livingston | 1637728 | 18 | 07/13/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dean B Livingston | 1637728 | 18 | 05/20/2009 | Customer Dispute | Settled | $275,000.00 | $0.00 | See FINRA Report |
| Jason Ferris Jeung | 2690182 | 3 | 05/11/2009 | Customer Dispute | Settled | $105,000.00 | $0.00 | See FINRA Report |
| Kenneth Metviner | 1178560 | 4 | 05/07/2009 | Customer Dispute | Settled | $295,056.00 | $0.00 | See FINRA Report |
| Dean B Livingston | 1637728 | 18 | 12/09/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dean B Livingston | 1637728 | 18 | 12/01/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Douglas Dickey | 3256135 | 2 | 10/14/2008 | Customer Dispute | Denied | $97,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Annunziata | 718310 | 1 | 08/06/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |