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 |
|---|---|---|---|---|---|---|---|---|
| Jeremy Aaron Raffer | 5175976 | 1 | 02/12/2024 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Keith Thomas Morris | 2574251 | 1 | 04/21/2023 | Customer Dispute | Settled | $27,069.20 | $0.00 | See FINRA Report |
| David Alan Carbiener | 2279691 | 1 | 01/29/2022 | Customer Dispute | Settled | $7,580.00 | $0.00 | See FINRA Report |
| Jonathan Adam Dutton | 4993475 | 2 | 10/21/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Margaret Newell Wiley | 5681782 | 1 | 05/28/2020 | Customer Dispute | Settled | $7,811.36 | $0.00 | See FINRA Report |
| William Christopher McShane | 1099025 | 1 | 02/07/2017 | Customer Dispute | Settled | $2,442,590.00 | $0.00 | See FINRA Report |
| Brett Jay Diamond | 3270881 | 1 | 04/09/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Jeffrey Staadeker | 1556885 | 1 | 03/18/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Travis Aaron Hadwin | 2165987 | 3 | 09/13/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Michael Pignone | 1686899 | 2 | 08/12/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |