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 |
|---|---|---|---|---|---|---|---|---|
| Richard J Cawthorne | 2941950 | 1 | 04/30/2015 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Ronald Arthur Woody | 1349560 | 2 | 02/02/2015 | Customer Dispute | Denied | $19,000.00 | $0.00 | See FINRA Report |
| Peter William Grassi | 3245326 | 1 | 01/15/2014 | Customer Dispute | Denied | $31,207.90 | $0.00 | See FINRA Report |
| Charles George Breschi | 4442754 | 2 | 09/10/2013 | Customer Dispute | Settled | $20,967.50 | $0.00 | See FINRA Report |
| Seth Erik Grano | 4219991 | 4 | 03/18/2013 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Mitchell Bradley Starr | 2361040 | 1 | 09/04/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Howard Nevins Bienenfeld | 831168 | 1 | 09/04/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Seth Erik Grano | 4219991 | 4 | 07/10/2012 | Customer Dispute | Award / Judgment | $11,025.00 | $11,025.00 | See FINRA Report |
| Charles George Breschi | 4442754 | 2 | 04/03/2012 | Customer Dispute | Closed-No Action | $9,600.00 | $0.00 | See FINRA Report |
| John Shannon Beh | 1787942 | 1 | 06/22/2011 | Customer Dispute | Settled | $15,306.20 | $0.00 | See FINRA Report |