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 |
|---|---|---|---|---|---|---|---|---|
| Carlton Jerome Dick | 5639545 | 1 | 08/28/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brent Stephen Spicuzza | 4134728 | 7 | 08/07/2017 | Customer Dispute | Settled | $1,100,000.00 | $0.00 | See FINRA Report |
| Brent Stephen Spicuzza | 4134728 | 7 | 03/21/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter James Donovan | 4827771 | 2 | 02/26/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Garrett Ott | 5131748 | 1 | 02/25/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Wayne Ott | 826866 | 3 | 02/25/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter James Donovan | 4827771 | 2 | 02/01/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gary Wayne Ott | 826866 | 3 | 01/08/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brent Stephen Spicuzza | 4134728 | 7 | 12/30/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brent Stephen Spicuzza | 4134728 | 7 | 11/19/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |