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 | 04/08/2019 | Employment Separation After Allegations | $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 | |
| John Patrick Shreenan | 1216123 | 2 | 02/28/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |