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 |
|---|---|---|---|---|---|---|---|---|
| Michael Paul Pfeuffer | 4673412 | 1 | 11/14/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| George Kurt Finkbeiner | 1332275 | 3 | 04/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy John Hoag | 5386477 | 1 | 11/18/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Mark Mullen | 1327419 | 6 | 11/15/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Clyde Goldberg | 223898 | 1 | 04/13/2011 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| David Mark Mullen | 1327419 | 6 | 02/18/2011 | Customer Dispute | Settled | $323,753.00 | $0.00 | See FINRA Report |
| David Mark Mullen | 1327419 | 6 | 02/10/2011 | Customer Dispute | Settled | $61,460.10 | $0.00 | See FINRA Report |
| David Mark Mullen | 1327419 | 6 | 02/10/2011 | Customer Dispute | Settled | $1,088,290.00 | $0.00 | See FINRA Report |
| Mark Allen Kirsche | 2587688 | 2 | 11/15/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alexander Sotir Joseph | 6141503 | 1 | 10/22/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |