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 |
|---|---|---|---|---|---|---|---|---|
| Judy Lee Esau | 1229839 | 1 | 07/29/1998 | Customer Dispute | Denied | $8,206.00 | $0.00 | See FINRA Report |
| John Joseph Murphy | 1039914 | 3 | 12/24/1997 | Customer Dispute | Settled | $5,944.00 | $0.00 | See FINRA Report |
| Stephen Mark Littenberg | 2128750 | 2 | 11/30/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Terrence Hugh Gee | 1266030 | 3 | 06/01/1994 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Terrence Hugh Gee | 1266030 | 3 | 04/13/1994 | Customer Dispute | Award / Judgment | $141,840.00 | $12,408.20 | See FINRA Report |
| Joseph Stuart Newman | 1364418 | 3 | 11/07/1991 | Customer Dispute | Settled | $17,500.00 | $0.00 | See FINRA Report |
| Jeffrey Jon Sartorius | 1056097 | 2 | 03/15/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Conrad Karlinski | 1112156 | 3 | 03/18/1988 | Customer Dispute | Settled | $432,000.00 | $0.00 | See FINRA Report |