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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Robert Elliot Feldman | 2429623 | 7 | 01/30/2013 | Customer Dispute | Settled | $632,409.00 | $0.00 | See FINRA Report |
| Robert Elliot Feldman | 2429623 | 7 | 10/19/2011 | Customer Dispute | Settled | $2,421,130.00 | $0.00 | See FINRA Report |
| Woong Seong Hwang | 4400271 | 4 | 06/10/2011 | Customer Dispute | Settled | $26,812.20 | $0.00 | See FINRA Report |
| David Wayne Woolford | 1967193 | 4 | 05/31/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jesse Berne Clinton | 4589673 | 1 | 02/01/2011 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Mark Thomas Conway | 2023529 | 1 | 02/04/2010 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Lawrence Alan Barocas | 2969168 | 2 | 01/11/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mark Nelson Hogan | 1730695 | 2 | 12/10/2009 | Customer Dispute | Denied | $18,265.00 | $0.00 | See FINRA Report |