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 |
|---|---|---|---|---|---|---|---|---|
| Sara R Bohn | 4615266 | 1 | 04/07/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Christopher Alba | 2651547 | 6 | 01/21/2004 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Michael Christopher Alba | 2651547 | 6 | 07/08/2003 | Customer Dispute | Settled | $338,000.00 | $0.00 | See FINRA Report |
| Michael Christopher Alba | 2651547 | 6 | 12/04/2002 | Customer Dispute | Closed-No Action | $250,000.00 | $0.00 | See FINRA Report |
| Michael Christopher Alba | 2651547 | 6 | 12/02/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Christopher Alba | 2651547 | 6 | 03/05/2002 | Customer Dispute | Settled | $1,700,000.00 | $0.00 | See FINRA Report |
| Michael Christopher Alba | 2651547 | 6 | 11/03/1999 | Customer Dispute | Denied | $38,386.00 | $0.00 | See FINRA Report |
| Joseph Arthur Toepke | 6501576 | 1 | 06/02/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |