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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Gerald Roehrig | 2826376 | 5 | 05/09/2024 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Vincent James Palumbos | 3220021 | 1 | 08/29/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeremy Thomas Raco | 2641148 | 4 | 05/07/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Bartolotta | 1943239 | 5 | 01/30/1998 | Customer Dispute | Closed-No Action | $5,200.00 | $0.00 | See FINRA Report |