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 |
|---|---|---|---|---|---|---|---|---|
| Don Michael Rudolph | 1743602 | 1 | 03/30/2020 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Susan C Pokwatka | 2057823 | 1 | 11/04/2019 | Customer Dispute | Settled | $99,999.00 | $0.00 | See FINRA Report |
| Ralph Joseph Aiello | 4161901 | 1 | 12/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Robert Lawson | 2087174 | 1 | 01/22/2009 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Ronald James Perry | 2037528 | 1 | 09/30/2002 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| James Michael Mertens | 3059385 | 1 | 01/09/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |