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 |
|---|---|---|---|---|---|---|---|---|
| Lee Alan Duckworth | 2097591 | 5 | 03/30/2021 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Curt A Caserta | 2709324 | 1 | 03/30/2021 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Lee Alan Duckworth | 2097591 | 5 | 07/08/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter James Alofsin | 2274434 | 3 | 07/08/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lee Alan Duckworth | 2097591 | 5 | 06/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter James Alofsin | 2274434 | 3 | 06/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lee Alan Duckworth | 2097591 | 5 | 03/17/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| James Boyd Speights | 1362050 | 1 | 09/09/2016 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |