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 |
|---|---|---|---|---|---|---|---|---|
| David William Taylor | 7100199 | 1 | 01/01/2024 | Customer Dispute | Closed-No Action | $52,000.00 | $0.00 | See FINRA Report |
| James Robert Palmiotto | 6712587 | 2 | 04/30/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Lorraine Marie Frownfelter | 6679543 | 1 | 05/05/2020 | Customer Dispute | Closed-No Action | $4,080.00 | $0.00 | See FINRA Report |
| Charles Lee | 4686159 | 3 | 09/17/2019 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Rebecca T Ward | 6692246 | 2 | 09/17/2019 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| James Robert Palmiotto | 6712587 | 2 | 01/25/2019 | Customer Dispute | Closed-No Action | $25,020.00 | $0.00 | See FINRA Report |
| Larry M Goldberg | 6516221 | 2 | 08/20/2018 | Customer Dispute | Closed-No Action | $6,503.00 | $0.00 | See FINRA Report |
| Andrew Ian Wilson | 5280283 | 1 | 08/07/2018 | Customer Dispute | Closed-No Action | $14,400.00 | $0.00 | See FINRA Report |
| Robert Charles Donati | 3082062 | 1 | 06/14/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Robert Sherwood | 6407223 | 1 | 02/14/2017 | Customer Dispute | Closed-No Action | $14,287.00 | $0.00 | See FINRA Report |