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 | 01/31/2002 | Customer Dispute | Settled | $270,000.00 | $0.00 | See FINRA Report |
| Christopher Evans McAdoo | 1757312 | 4 | 08/28/2001 | Customer Dispute | Settled | $41,622.60 | $0.00 | See FINRA Report |
| Tinh Thanh Nguyen | 2583389 | 1 | 07/09/2001 | Customer Dispute | Settled | $64,886.90 | $0.00 | See FINRA Report |
| Matthew Lewis Madeira | 702773 | 1 | 08/15/2000 | Customer Dispute | Settled | $75,491.50 | $0.00 | See FINRA Report |
| Peter Ernest Dolan | 713220 | 2 | 09/16/1993 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Amy Gwyn Sachs | 1268273 | 1 | 07/07/1989 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |