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 |
|---|---|---|---|---|---|---|---|---|
| Victor J Alfieri | 3044060 | 5 | 09/17/2010 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Victor J Alfieri | 3044060 | 5 | 08/19/2010 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| John Arthur Raudat | 1844139 | 4 | 08/16/2010 | Customer Dispute | Settled | $1,350,000.00 | $0.00 | See FINRA Report |
| James Kenneth Lyons | 315393 | 2 | 03/12/2010 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Christopher E Higgins | 2582448 | 1 | 03/11/2010 | Customer Dispute | Settled | $346,300.00 | $0.00 | See FINRA Report |
| John Arthur Raudat | 1844139 | 4 | 01/28/2010 | Customer Dispute | Settled | $740,000.00 | $0.00 | See FINRA Report |
| Victor J Alfieri | 3044060 | 5 | 10/15/2009 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Stephen Christopher North | 2089713 | 5 | 10/09/2009 | Customer Dispute | Settled | $123,000.00 | $0.00 | See FINRA Report |
| James Alan Turk | 4619653 | 3 | 09/02/2009 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Vernon Cunningham | 2239920 | 1 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |