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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Banasz | 2309421 | 1 | 12/06/2013 | Employment Separation After Allegations | $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 |
| Wilhelmina Deanna Joseph | 262312 | 1 | 06/25/2012 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Anthony Roy Mandile | 5769550 | 1 | 02/12/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael James Germano | 4660076 | 2 | 06/23/2011 | Customer Dispute | Denied | $9,370.99 | $0.00 | See FINRA Report |
| Brad Lee Chumley | 3133581 | 2 | 05/26/2011 | Customer Dispute | Closed-No Action | $5,400.00 | $0.00 | See FINRA Report |
| Jennifer Kathryn Makras | 5471699 | 1 | 02/01/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Michael Baker | 2706889 | 3 | 10/28/2010 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| John Alexander Rice | 2269699 | 4 | 07/26/2010 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |