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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Colin Sean Casey | 5528170 | 1 | 04/02/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Anthony Cecil | 4515995 | 3 | 01/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Raymond Hakel | 1028745 | 2 | 10/22/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Anthony Fabrizio | 4049844 | 2 | 10/22/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Anthony Grogan | 4395120 | 1 | 10/15/2018 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |