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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Gerard Vendryes | 5310114 | 1 | 12/10/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Michael Delekta | 3172012 | 1 | 03/31/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Frank Lopez | 4409741 | 3 | 08/06/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Frank Lopez | 4409741 | 3 | 07/30/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Frank Lopez | 4409741 | 3 | 11/17/2000 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Stephen Frederick Hill | 2276842 | 1 | 11/13/2000 | Customer Dispute | Withdrawn | $9,737.77 | $0.00 | See FINRA Report |