Our Staff has compiled our research into a database of FINRA Broker Disclosures for Richard James & Associates, Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| William Robert Brown | 5774557 | 5 | 04/22/2022 | Customer Dispute | Pending | $20,609.30 | $0.00 | See FINRA Report |
| Barbara Diane Halpern | 711919 | 6 | 03/14/2022 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| William Robert Brown | 5774557 | 5 | 07/21/2021 | Customer Dispute | Pending | $45,000.00 | $0.00 | See FINRA Report |
| William Robert Brown | 5774557 | 5 | 07/21/2021 | Customer Dispute | Pending | $90,000.00 | $0.00 | See FINRA Report |
| Barbara Diane Halpern | 711919 | 6 | 02/23/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Robert Brown | 5774557 | 5 | 04/14/2014 | Customer Dispute | Settled | $31,638.00 | $0.00 | See FINRA Report |
| William Robert Brown | 5774557 | 5 | 01/02/2014 | Customer Dispute | Settled | $29,250.00 | $0.00 | See FINRA Report |
| Philip Florio | 2377440 | 1 | 10/06/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Barbara Diane Halpern | 711919 | 6 | 11/14/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Barbara Diane Halpern | 711919 | 6 | 10/30/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |