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 |
|---|---|---|---|---|---|---|---|---|
| Vernon Cunningham | 2239920 | 1 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Victor J Alfieri | 3044060 | 5 | 06/02/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jay I Weintraub | 1008357 | 3 | 05/15/2009 | Customer Dispute | Denied | $6,066.00 | $0.00 | See FINRA Report |
| James Salvatore Mantione | 3091324 | 3 | 05/12/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| James Murray Paul | 4648233 | 5 | 04/28/2009 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |
| Raymond Allen Thomas | 2465479 | 3 | 04/23/2009 | Customer Dispute | Denied | $138,049.00 | $0.00 | See FINRA Report |
| Victor J Alfieri | 3044060 | 5 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Warren Bernard Gallagher | 2460167 | 5 | 03/10/2009 | Customer Dispute | Closed-No Action | $10,811.40 | $0.00 | See FINRA Report |
| Jeffrey Jon Sartorius | 1056097 | 2 | 03/06/2009 | Customer Dispute | Withdrawn | $25,000.00 | $0.00 | See FINRA Report |
| Moshe Aronov | 2648519 | 2 | 02/20/2009 | Customer Dispute | Denied | $7,119.54 | $0.00 | See FINRA Report |