Our Staff has compiled our research into a database of FINRA Broker Disclosures for Joseph Gunnar & Co. LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Leonard Neil Rich | 375427 | 7 | 11/21/2023 | Customer Dispute | Pending | $45,700.00 | $0.00 | See FINRA Report |
| Joseph Anthony Alagna | 1840339 | 4 | 01/09/2023 | Customer Dispute | Award / Judgment | $2,108,920.00 | $650,000.00 | See FINRA Report |
| Stephan A Stein | 3238494 | 3 | 12/30/2022 | Customer Dispute | Award / Judgment | $2,100,330.00 | $650,000.00 | See FINRA Report |
| Michael William Wagner | 3083994 | 7 | 06/02/2021 | Customer Dispute | Settled | $166,000.00 | $0.00 | See FINRA Report |
| Rikin Vinay Jobanputra | 5763695 | 2 | 03/09/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Rikin Vinay Jobanputra | 5763695 | 2 | 01/11/2021 | Customer Dispute | Settled | $58,366.00 | $0.00 | See FINRA Report |
| Stephan A Stein | 3238494 | 3 | 04/21/2020 | Customer Dispute | Withdrawn | $340,000.00 | $0.00 | See FINRA Report |
| Joseph Anthony Alagna | 1840339 | 4 | 04/16/2020 | Customer Dispute | Award / Judgment | $1,060,000.00 | $512,000.00 | See FINRA Report |
| Stephan A Stein | 3238494 | 3 | 04/16/2020 | Customer Dispute | Award / Judgment | $1,060,000.00 | $512,000.00 | See FINRA Report |
| Stephen Gregory Marek | 2458841 | 4 | 09/04/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |