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 |
|---|---|---|---|---|---|---|---|---|
| Rajnish Bhuyan | 1796136 | 2 | 09/10/2002 | Customer Dispute | Settled | $275,000.00 | $0.00 | See FINRA Report |
| Daniel Keith Hocking | 1346641 | 2 | 07/30/2002 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Dane Cooper | 5874943 | 1 | 07/21/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Perry Dean Bohl | 1949724 | 2 | 06/26/2002 | Customer Dispute | Settled | $82,552.00 | $0.00 | See FINRA Report |
| Terrence John Crowley | 1263981 | 5 | 04/15/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Robert Wheatley | 2337773 | 1 | 03/12/2002 | Customer Dispute | Closed-No Action | $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 |
| Terrence John Crowley | 1263981 | 5 | 09/18/2001 | Customer Dispute | Settled | $6,012.70 | $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 |