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 |
|---|---|---|---|---|---|---|---|---|
| Richard Allen Ceffalio | 2619565 | 5 | 05/31/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Richard Allen Ceffalio | 2619565 | 5 | 05/28/2024 | Customer Dispute | Pending | $3,530,380.00 | $0.00 | See FINRA Report |
| Daniel Seth Steele | 5697477 | 1 | 07/31/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Richard Allen Ceffalio | 2619565 | 5 | 07/21/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Alan Matthew Stricker | 2630094 | 2 | 06/02/2021 | Customer Dispute | Settled | $23,995.00 | $0.00 | See FINRA Report |
| Peter Frederick Butler | 1942182 | 9 | 12/23/2020 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Luke Melms | 5851982 | 1 | 09/08/2020 | Customer Dispute | Denied | $51,526.00 | $0.00 | See FINRA Report |
| Alfred Bonardi | 1361351 | 2 | 10/29/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Eli Moallem | 2954321 | 2 | 10/03/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Samuel Lockman | 4450854 | 1 | 06/11/2019 | Customer Dispute | Denied | $3,000.00 | $0.00 | See FINRA Report |