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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Joseph Breslin | 3252236 | 3 | 01/02/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cheryl Jean Gruetzmacher | 4991248 | 1 | 12/27/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Raymond Frager | 1230622 | 11 | 12/21/2001 | Customer Dispute | Settled | $4,200.00 | $0.00 | See FINRA Report |
| Michael Raymond Frager | 1230622 | 11 | 04/17/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Raymond Frager | 1230622 | 11 | 05/01/2000 | Customer Dispute | Settled | $15,000,000.00 | $0.00 | See FINRA Report |
| Gregory Scott Hermes | 2656830 | 2 | 12/17/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Raymond Frager | 1230622 | 11 | 05/20/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Raymond Frager | 1230622 | 11 | 11/11/1994 | Customer Dispute | Settled | $44,000.00 | $0.00 | See FINRA Report |
| Michael Raymond Frager | 1230622 | 11 | 09/01/1994 | Customer Dispute | Settled | $48,488.00 | $0.00 | See FINRA Report |
| Michael Raymond Frager | 1230622 | 11 | 08/25/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |