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 |
|---|---|---|---|---|---|---|---|---|
| Robert Charles Auditore | 2077349 | 1 | 10/18/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Anthony Scarpo | 2165120 | 2 | 05/02/2001 | Customer Dispute | Settled | $277,520.00 | $0.00 | See FINRA Report |
| James Alvin Cannon | 2218524 | 1 | 07/25/2000 | Customer Dispute | Settled | $9,897.26 | $0.00 | See FINRA Report |
| Robert Arthur Jones | 734692 | 5 | 04/20/2000 | Customer Dispute | Settled | $15,000,000.00 | $0.00 | See FINRA Report |
| Edwin Richard Rodriguez | 402367 | 1 | 03/15/2000 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Shawn Trahill Morris | 2842850 | 2 | 10/29/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Wilson Smith Hoyle | 2444392 | 1 | 05/07/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy John Vos | 1425498 | 3 | 05/16/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Carol Garrett | 1844250 | 4 | 04/11/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Carol Garrett | 1844250 | 4 | 02/12/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |