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 |
|---|---|---|---|---|---|---|---|---|
| Peter R Serra | 5245861 | 1 | 03/21/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Gregory Marek | 2458841 | 4 | 11/21/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Eugene Wesley | 5745136 | 1 | 08/27/2014 | Customer Dispute | Settled | $9,000.00 | $0.00 | See FINRA Report |
| Michael William Wagner | 3083994 | 7 | 04/05/2013 | Customer Dispute | Settled | $268,890.00 | $0.00 | See FINRA Report |
| Joseph Anthony Alagna | 1840339 | 4 | 01/07/2013 | Customer Dispute | Award / Judgment | $1,115,340.00 | $702,037.00 | See FINRA Report |
| Leonard Neil Rich | 375427 | 7 | 12/07/2012 | Customer Dispute | Settled | $636,062.00 | $0.00 | See FINRA Report |
| John Justin Piro | 4539787 | 2 | 02/21/2012 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Alain Germain Tripeau | 5388446 | 2 | 11/17/2011 | Customer Dispute | Denied | $9,774.12 | $0.00 | See FINRA Report |
| Kavon Moshfeghi | 5804645 | 1 | 07/03/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ornella Palmieri-Gallagher | 2398399 | 1 | 03/08/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |