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 |
|---|---|---|---|---|---|---|---|---|
| Jonathan Charles Penta | 4385853 | 3 | 01/19/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Charles Penta | 4385853 | 3 | 05/07/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jonathan Charles Penta | 4385853 | 3 | 04/08/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Frances Alessi | 1423385 | 7 | 01/31/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Thomas Frances Alessi | 1423385 | 7 | 12/03/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Frances Alessi | 1423385 | 7 | 07/22/2010 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| Thomas Frances Alessi | 1423385 | 7 | 06/22/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Frances Alessi | 1423385 | 7 | 06/30/2004 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Thomas Frances Alessi | 1423385 | 7 | 08/05/2002 | Customer Dispute | Denied | $24,680.00 | $0.00 | See FINRA Report |
| Thomas Frances Alessi | 1423385 | 7 | 07/11/2002 | Customer Dispute | Denied | $14,400.00 | $0.00 | See FINRA Report |