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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Charles Connolly | 1976678 | 2 | 10/28/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ben A Roth | 1080792 | 3 | 09/12/2003 | Customer Dispute | Settled | $550,967.00 | $0.00 | See FINRA Report |
| Randy Michael Penkwitz | 2370943 | 4 | 08/26/2003 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Gerald Thomas Goss | 226249 | 1 | 07/22/2003 | Customer Dispute | Closed-No Action | $130,000.00 | $0.00 | See FINRA Report |
| Joseph Charles Connolly | 1976678 | 2 | 04/09/2003 | Customer Dispute | Award / Judgment | $29,000.00 | $6,833.00 | See FINRA Report |
| James Wilbur Caspers | 2120724 | 2 | 04/02/2003 | Customer Dispute | Denied | $79,398.00 | $0.00 | See FINRA Report |
| Dwight Kimball Montgomery | 2071473 | 2 | 03/25/2003 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| James Patrick Braun | 3070511 | 1 | 02/05/2003 | Customer Dispute | Denied | $20,236.70 | $0.00 | See FINRA Report |
| Ellis James Shiver | 1307962 | 1 | 11/27/2002 | Customer Dispute | Denied | $23,000.00 | $0.00 | See FINRA Report |
| Randy Michael Penkwitz | 2370943 | 4 | 09/18/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |