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 J Mittman | 3098677 | 1 | 11/10/2008 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Eric S Starkey | 6686180 | 2 | 08/12/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Antonia Maria La Rocca | 2664713 | 2 | 05/05/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Antonia Maria La Rocca | 2664713 | 2 | 05/05/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Roy Maxwell Alvis, Jr | 1919595 | 1 | 03/31/2008 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Eric S Starkey | 6686180 | 2 | 01/06/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Charles Meline | 3220612 | 2 | 12/07/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Cody Miller | 2937577 | 3 | 09/12/2007 | Customer Dispute | Settled | $14,884.00 | $0.00 | See FINRA Report |
| William Jeffrey Brown | 5140855 | 1 | 07/16/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John David Monroe | 2145151 | 2 | 09/15/2006 | Customer Dispute | Denied | $8,123.00 | $0.00 | See FINRA Report |