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 |
|---|---|---|---|---|---|---|---|---|
| Kevin D Millard | 5430403 | 1 | 02/23/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ryan Nicholas Paugh | 4827214 | 3 | 07/16/2015 | Customer Dispute | Settled | $29,500.00 | $0.00 | See FINRA Report |
| Peter Tyler Grave | 4717591 | 1 | 12/28/2012 | Customer Dispute | Award / Judgment | $1,236,000.00 | $293,266.00 | See FINRA Report |
| Mark Thomas Roman | 2492417 | 1 | 06/06/2011 | Customer Dispute | Settled | $27,242.00 | $0.00 | See FINRA Report |
| Gayle S G Rosewell | 2881132 | 1 | 11/20/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Paul Mucci | 2360276 | 1 | 01/14/2003 | Customer Dispute | Settled | $5,500,000.00 | $0.00 | See FINRA Report |
| Scott Clifton Buell | 2366895 | 2 | 08/22/2002 | Customer Dispute | Settled | $96,633.00 | $0.00 | See FINRA Report |
| Scott Clifton Buell | 2366895 | 2 | 02/05/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jan Eric Kowal | 1619631 | 1 | 10/06/1998 | Customer Dispute | Settled | $25,200.00 | $0.00 | See FINRA Report |