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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Liam Smith | 1407004 | 1 | 01/17/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Hunt | 1375554 | 1 | 03/18/2019 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Scott Jason Wallach | 3108314 | 4 | 10/04/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Jason Wallach | 3108314 | 4 | 09/19/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gregory Michael Nardolillo | 2218022 | 2 | 12/12/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Scott Jason Wallach | 3108314 | 4 | 07/19/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John R Cartledge | 4017958 | 2 | 12/07/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy John Padva | 1564516 | 2 | 10/17/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Jason Wallach | 3108314 | 4 | 11/15/2010 | Customer Dispute | Settled | $7,600.00 | $0.00 | See FINRA Report |
| Stephen Anthony Molinelli | 857407 | 1 | 03/19/2009 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |