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 |
|---|---|---|---|---|---|---|---|---|
| Jennifer A Tanck | 4159179 | 3 | 06/27/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Ross Oltorik | 2303275 | 3 | 10/18/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John David Smith | 1458884 | 1 | 09/09/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jennifer A Tanck | 4159179 | 3 | 11/19/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jennifer A Tanck | 4159179 | 3 | 11/19/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Barry P Toole | 3142901 | 2 | 11/14/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Barry P Toole | 3142901 | 2 | 11/14/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Melinda Gail Thomas | 2038974 | 2 | 08/23/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason John Cohn | 4334960 | 2 | 06/14/2010 | Customer Dispute | Settled | $221,326.00 | $0.00 | See FINRA Report |
| Eric Anthony Ward | 2158290 | 1 | 01/27/2010 | Customer Dispute | Withdrawn | $490,000.00 | $0.00 | See FINRA Report |