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 |
|---|---|---|---|---|---|---|---|---|
| Todd Benjamin Wiswell | 4907188 | 1 | 06/09/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Brett J Kelly | 4818868 | 1 | 01/21/2010 | Customer Dispute | Closed-No Action | $7,421.00 | $0.00 | See FINRA Report |
| Adam J Rutstein | 4621152 | 7 | 11/17/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Devin E Crandall | 7630755 | 1 | 10/06/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edwin Martinez | 4268255 | 7 | 05/05/2009 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| Lawrence Tchou | 6692774 | 1 | 04/29/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Adam J Rutstein | 4621152 | 7 | 01/28/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Kyle Tietsort | 6666556 | 1 | 05/08/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Francis Patrick Caraco | 1221773 | 2 | 02/25/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Edwin Martinez | 4268255 | 7 | 11/19/2007 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |