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 |
|---|---|---|---|---|---|---|---|---|
| Erik Joseph Mathieson | 2207687 | 3 | 03/24/1998 | Customer Dispute | Denied | $9,800.00 | $0.00 | See FINRA Report |
| John Alexander Rice | 2269699 | 4 | 01/13/1998 | Customer Dispute | Closed-No Action | $243,143.00 | $0.00 | See FINRA Report |
| John Alexander Rice | 2269699 | 4 | 01/08/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Bernard Barry Salzman | 409665 | 3 | 08/21/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Theodore Allan Schwab | 1424173 | 1 | 12/27/1996 | Customer Dispute | Award / Judgment | $109,000.00 | $1,000.00 | See FINRA Report |
| Peter Ernest Dolan | 713220 | 2 | 09/16/1993 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Janet Elizabeth Mabry | 1771350 | 1 | 09/12/1990 | Customer Dispute | Award / Judgment | $380,464.00 | $11,769.30 | See FINRA Report |
| Amy Gwyn Sachs | 1268273 | 1 | 07/07/1989 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |