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 |
|---|---|---|---|---|---|---|---|---|
| Rowena York Ruff | 2905624 | 1 | 02/08/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Johnny Kenard Rutledge | 5507113 | 2 | 01/11/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Andrew Cohn | 4617830 | 1 | 03/05/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gary Alan Rosenstone | 4660262 | 1 | 07/10/2017 | Customer Dispute | Settled | $84,208.80 | $0.00 | See FINRA Report |
| Jane S Goodyear | 4318831 | 1 | 11/09/2012 | Customer Dispute | Settled | $147,971.00 | $0.00 | See FINRA Report |
| Bernice Valrey Rolle-Lewis | 2848008 | 2 | 10/27/2009 | Customer Dispute | Settled | $113,000.00 | $0.00 | See FINRA Report |
| Andy Dewayne Garcia | 4808521 | 1 | 04/21/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| John Eric Osterberg | 2446801 | 2 | 08/05/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Kyle Robert Arcand | 1854737 | 2 | 05/23/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David John Schwartz | 5039137 | 1 | 11/12/2007 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |