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 |
|---|---|---|---|---|---|---|---|---|
| Richard Godfrey | 2323709 | 2 | 12/13/2002 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Andrew Michel Denis | 2509457 | 2 | 12/06/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Francis Carrigg | 2630512 | 2 | 10/25/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Godfrey | 2323709 | 2 | 10/10/2002 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Christopher Evans McAdoo | 1757312 | 4 | 06/24/2002 | Customer Dispute | Award / Judgment | $100,000.00 | $0.00 | See FINRA Report |
| Charles Miller | 2933141 | 2 | 04/22/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Erik Joseph Mathieson | 2207687 | 3 | 04/12/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Roger Stuart Kuperman | 2225657 | 1 | 02/04/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Erik Joseph Mathieson | 2207687 | 3 | 01/31/2002 | Customer Dispute | Settled | $270,000.00 | $0.00 | See FINRA Report |
| Jerry Odell McDonald | 2119645 | 1 | 12/21/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |