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 |
|---|---|---|---|---|---|---|---|---|
| Tony Esses | 4643285 | 2 | 12/21/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marivi Rodriguez | 2423159 | 1 | 05/31/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Wayne Woolford | 1967193 | 4 | 03/21/2017 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| David Wayne Woolford | 1967193 | 4 | 03/21/2017 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| William Keith Mayo | 1200137 | 5 | 05/20/2016 | Customer Dispute | Settled | $20,862.00 | $0.00 | See FINRA Report |
| Robert Elliot Feldman | 2429623 | 7 | 10/28/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Elliot Feldman | 2429623 | 7 | 04/09/2013 | Customer Dispute | Settled | $336,212.00 | $0.00 | See FINRA Report |
| David Wayne Woolford | 1967193 | 4 | 03/20/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Thomas Diciaccio | 1197967 | 4 | 03/12/2013 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Robert Elliot Feldman | 2429623 | 7 | 01/31/2013 | Customer Dispute | Settled | $798,161.00 | $0.00 | See FINRA Report |