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 |
|---|---|---|---|---|---|---|---|---|
| Wayne Blackburn Glenn | 4752824 | 2 | 02/01/2010 | Customer Dispute | Denied | $700,000.00 | $0.00 | See FINRA Report |
| John Arthur Raudat | 1844139 | 4 | 01/28/2010 | Customer Dispute | Settled | $740,000.00 | $0.00 | See FINRA Report |
| James Salvatore Mantione | 3091324 | 3 | 11/13/2009 | Customer Dispute | Denied | $8,522.00 | $0.00 | See FINRA Report |
| Colin Davis Cissne | 5278705 | 1 | 11/01/2009 | Criminal | Final Disposition | $0.00 | $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 |
| Ommund Danny Skaar | 823376 | 2 | 08/11/2009 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Phillips | 2175251 | 1 | 07/16/2009 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Anthony David Pondel | 2267949 | 1 | 06/16/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |