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 |
|---|---|---|---|---|---|---|---|---|
| Frank V Barravechia | 2176908 | 15 | 10/31/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank V Barravechia | 2176908 | 15 | 07/03/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank V Barravechia | 2176908 | 15 | 01/13/1999 | Customer Dispute | Settled | $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 |
| Barbara Diane Halpern | 711919 | 6 | 07/30/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Barbara Diane Halpern | 711919 | 6 | 11/27/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |