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 |
|---|---|---|---|---|---|---|---|---|
| Sean Patrick MacRory | 4744064 | 2 | 10/24/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bernard Karl Semon | 2129512 | 3 | 12/03/2021 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Michael Patrick Mawby | 2491450 | 3 | 11/18/2021 | Customer Dispute | Settled | $545,000.00 | $0.00 | See FINRA Report |
| Mitchell Howard Hirsch | 1147538 | 5 | 10/29/2021 | Customer Dispute | Final | $1,000,000.00 | $0.00 | See FINRA Report |
| Victoria Elizabeth Wiggins | 6794409 | 1 | 05/28/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tami Lynne Aloisa | 2596467 | 4 | 02/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tami Lynne Aloisa | 2596467 | 4 | 02/02/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tami Lynne Aloisa | 2596467 | 4 | 08/17/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bruce Benjamin Greenwald | 1413095 | 3 | 01/03/2017 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Ismael Romero | 5146132 | 1 | 03/21/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |