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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Michael Washburn | 2360462 | 2 | 08/28/2000 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Brian Dorflinger | 5426567 | 1 | 12/07/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Robert Vitale | 2113022 | 1 | 08/13/1999 | Customer Dispute | Settled | $10,184.00 | $0.00 | See FINRA Report |
| Scott Ira Gutman | 5250980 | 1 | 04/06/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Michael Dahan | 2297087 | 2 | 01/16/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| 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 |
| Stephen Christopher North | 2089713 | 5 | 11/30/1994 | Regulatory | Final | $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 |