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 |
|---|---|---|---|---|---|---|---|---|
| Michael Sean Woods | 2453768 | 1 | 08/26/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher John Broderick | 2592177 | 2 | 03/10/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Conibear Kutrow | 2562174 | 1 | 02/07/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher John Broderick | 2592177 | 2 | 10/19/2004 | Customer Dispute | Settled | $242,000.00 | $0.00 | See FINRA Report |
| Glen Michael Oconnor | 2499731 | 1 | 06/17/2003 | Customer Dispute | Denied | $5,311.00 | $0.00 | See FINRA Report |
| Jeanne Kearns Hagar | 2151720 | 1 | 11/04/2002 | Customer Dispute | Settled | $12,445.60 | $0.00 | See FINRA Report |
| Dennis Ross Oltorik | 2303275 | 3 | 10/16/2002 | Customer Dispute | Settled | $666,000.00 | $0.00 | See FINRA Report |
| Michael Charles Hulett | 2400340 | 1 | 12/17/2001 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Justin Burr Scott | 5412879 | 1 | 11/01/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Francis Oflaherty | 2162057 | 1 | 06/12/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |