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 |
|---|---|---|---|---|---|---|---|---|
| James Kevin Pheney | 1272932 | 1 | 12/29/2016 | Customer Dispute | Closed-No Action | $240,000.00 | $0.00 | See FINRA Report |
| Steven Anthony Cecil | 4515995 | 3 | 12/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Anthony Cecil | 4515995 | 3 | 12/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Frederick Butler | 1942182 | 9 | 10/25/2016 | Customer Dispute | Denied | $8,980.42 | $0.00 | See FINRA Report |
| Peter Frederick Butler | 1942182 | 9 | 09/14/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Walter Kubert | 4352945 | 3 | 07/01/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Birch | 805540 | 1 | 01/19/2016 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Brian Lynn Weese | 2109121 | 4 | 12/22/2015 | Customer Dispute | Settled | $93,238.00 | $0.00 | See FINRA Report |
| Joseph R Dimauro | 4865562 | 1 | 10/26/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Garrett Andrew Ahrens | 1999696 | 12 | 10/22/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |