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 |
|---|---|---|---|---|---|---|---|---|
| Peter Timothy Frawley | 4827671 | 7 | 06/14/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Timothy Frawley | 4827671 | 7 | 06/07/2013 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Peter Timothy Frawley | 4827671 | 7 | 11/02/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Raymond Max Pett | 2357041 | 5 | 10/06/2012 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Peter Timothy Frawley | 4827671 | 7 | 02/03/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jason Robert Fannon | 4258300 | 1 | 03/26/2010 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| Steven Paul Azoury | 733604 | 3 | 02/03/2010 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Peter Timothy Frawley | 4827671 | 7 | 06/04/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel James Laginess | 3055560 | 1 | 11/20/2008 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Oliver David Lee | 4472655 | 2 | 05/27/2006 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |