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 |
|---|---|---|---|---|---|---|---|---|
| John Arthur Raudat | 1844139 | 4 | 08/16/2010 | Customer Dispute | Settled | $1,350,000.00 | $0.00 | See FINRA Report |
| John Arthur Raudat | 1844139 | 4 | 08/09/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Breault | 1161180 | 3 | 07/27/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Brent Lapidus | 4365366 | 2 | 07/12/2010 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Travis Ryan Jacques | 4372252 | 1 | 06/28/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Charles Champagne | 4169488 | 10 | 06/28/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Lane Smith | 2924147 | 2 | 06/11/2010 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Steven Charles Champagne | 4169488 | 10 | 03/24/2010 | Customer Dispute | Denied | $48,848.00 | $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 |