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 |
|---|---|---|---|---|---|---|---|---|
| Laura Jean Dill | 4497702 | 1 | 03/07/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Patrick Smith | 429070 | 1 | 11/08/2016 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Peter Carmine Covino | 3107080 | 4 | 01/28/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Carmine Covino | 3107080 | 4 | 01/15/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Carmine Covino | 3107080 | 4 | 08/08/2011 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Peter Carmine Covino | 3107080 | 4 | 05/31/2011 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| James Bruce Lewis | 4721138 | 1 | 06/13/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |