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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| 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 |
| Stephen Anthony Dellelo | 2170012 | 1 | 11/16/2017 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Louise Marie Cole | 1189173 | 1 | 10/19/2016 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Scott Vincent Kaup | 1002907 | 5 | 04/25/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| George William Cole | 846724 | 2 | 05/13/2014 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Peter Charles Lynch | 2989299 | 1 | 08/05/2013 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Jerod Luke Bland | 5249391 | 1 | 11/13/2012 | Customer Dispute | Settled | $9,558.60 | $0.00 | See FINRA Report |