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 |
|---|---|---|---|---|---|---|---|---|
| Lisa M Rossi | 2261138 | 4 | 12/03/2003 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Jamie Lawrence Baraldi | 2326273 | 4 | 01/17/2002 | Customer Dispute | Award / Judgment | $70,000.00 | $0.00 | See FINRA Report |
| Anthony N Caruso | 1180397 | 1 | 03/27/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cynthia Laden Newman | 1078822 | 1 | 03/16/2001 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |