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 |
| Christopher Walter Kubert | 4352945 | 3 | 05/14/2021 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Daniel Keith Hocking | 1346641 | 2 | 07/30/2002 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |