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 |
|---|---|---|---|---|---|---|---|---|
| Robert Martin Black | 1145742 | 4 | 05/03/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David T Buckwald | 1883251 | 1 | 07/02/2021 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Paul Anthony Finocchiaro | 4201809 | 1 | 02/24/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Vincent Kaup | 1002907 | 5 | 01/12/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Vincent Kaup | 1002907 | 5 | 11/16/2020 | Customer Dispute | Settled | $665,000.00 | $0.00 | See FINRA Report |
| William C Guthrie | 6346818 | 1 | 08/07/2020 | Customer Dispute | Denied | $74,999.00 | $0.00 | See FINRA Report |
| Joseph Overfield | 7659942 | 3 | 12/31/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gregory S Hammer | 2391874 | 2 | 12/11/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Vincent Kaup | 1002907 | 5 | 02/14/2019 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Scott Vincent Kaup | 1002907 | 5 | 07/13/2018 | Customer Dispute | Settled | $2,600,000.00 | $0.00 | See FINRA Report |