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 |
|---|---|---|---|---|---|---|---|---|
| Joel Peter Spencer | 6827419 | 2 | 11/19/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Adam J Rutstein | 4621152 | 7 | 12/13/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Adam J Rutstein | 4621152 | 7 | 10/09/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Andrew Banac | 7296059 | 1 | 11/08/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joel Peter Spencer | 6827419 | 2 | 03/30/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brad Anthony Freitas | 5965780 | 1 | 09/24/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Adam J Rutstein | 4621152 | 7 | 01/28/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Steven Patterson | 6182775 | 1 | 01/09/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William O'Connell Baylog | 4119433 | 1 | 10/31/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Carl Halstead | 4120352 | 2 | 10/31/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |