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 |
---|---|---|---|---|---|---|---|---|
Randy Michael Penkwitz | 2370943 | 4 | 09/18/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
James Anthony Pupillo | 1714650 | 1 | 12/11/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
Winfred Norman Hasty | 1956832 | 1 | 08/17/2001 | Customer Dispute | Denied | $106,250.00 | $0.00 | See FINRA Report |
Lewis Allen Post | 2030003 | 1 | 06/20/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Ben A Roth | 1080792 | 3 | 02/02/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
Garrett Andrew Ahrens | 1999696 | 12 | 10/08/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
Garrett Andrew Ahrens | 1999696 | 12 | 10/08/1999 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
Garrett Andrew Ahrens | 1999696 | 12 | 10/08/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
Garrett Andrew Ahrens | 1999696 | 12 | 02/04/1999 | Customer Dispute | Denied | $14,500.00 | $0.00 | See FINRA Report |