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 |
|---|---|---|---|---|---|---|---|---|
| Thomas A Cavaliere | 4435562 | 1 | 01/25/2024 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Ian Stuart Baker | 4018036 | 1 | 06/16/2020 | Customer Dispute | Settled | $10,966.90 | $0.00 | See FINRA Report |
| Marc Charles Harary | 4430199 | 2 | 05/20/2016 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Christopher Douglas Davidson | 5274138 | 1 | 04/14/2015 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Keith Allan Svendby | 1493435 | 2 | 10/06/2010 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Cathleen Nash Stevens | 2394642 | 2 | 06/01/2010 | Customer Dispute | Settled | $650,000.00 | $0.00 | See FINRA Report |
| John M Stoken | 2375044 | 1 | 09/04/2009 | Customer Dispute | Settled | $59,000.00 | $0.00 | See FINRA Report |
| David Dana Stone | 703932 | 1 | 05/29/2009 | Customer Dispute | Settled | $15,181.00 | $0.00 | See FINRA Report |
| Jay Norman Warren | 1978700 | 3 | 09/29/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jay Norman Warren | 1978700 | 3 | 09/29/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |