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 |
|---|---|---|---|---|---|---|---|---|
| Philip David Meese | 7759875 | 3 | 10/19/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip David Meese | 7759875 | 3 | 09/06/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip David Meese | 7759875 | 3 | 12/21/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Vincent Buttaro | 6156731 | 2 | 08/31/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brett Eric Gottlieb | 3245674 | 2 | 09/01/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wendy Jane Wallace | 6529917 | 2 | 04/30/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brett Eric Gottlieb | 3245674 | 2 | 09/01/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alma Dan Frandsen | 5540719 | 1 | 05/04/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter Charles Lantz | 5897420 | 1 | 11/01/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wendy Jane Wallace | 6529917 | 2 | 10/25/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |