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 |
|---|---|---|---|---|---|---|---|---|
| Kevin H Christopher | 4420397 | 3 | 06/04/2009 | Customer Dispute | Denied | $99,832.00 | $0.00 | See FINRA Report |
| Walter Marcel Gundlach | 1531313 | 4 | 04/20/2009 | Customer Dispute | Settled | $35,750.00 | $0.00 | See FINRA Report |
| Timothy Jon Finkelston | 3100872 | 1 | 03/19/2009 | Customer Dispute | Award / Judgment | $81,330.50 | $81,330.50 | See FINRA Report |
| Garrett Andrew Ahrens | 1999696 | 12 | 03/11/2009 | Customer Dispute | Denied | $194,500.00 | $0.00 | See FINRA Report |
| James Wilbur Caspers | 2120724 | 2 | 03/04/2009 | Customer Dispute | Denied | $9,384.00 | $0.00 | See FINRA Report |
| John Thomas Mougey | 1157582 | 2 | 12/09/2008 | Customer Dispute | Denied | $5,400.00 | $0.00 | See FINRA Report |
| Stephen James Landersman | 1860390 | 2 | 09/10/2008 | Customer Dispute | Denied | $21,474.00 | $0.00 | See FINRA Report |
| Randy Michael Penkwitz | 2370943 | 4 | 08/21/2008 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Robert Anthony Fabrizio | 4049844 | 2 | 08/06/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Todd Ferrell Shiver | 4170164 | 1 | 07/24/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |