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 |
|---|---|---|---|---|---|---|---|---|
| Joe Hall | 1525923 | 1 | 07/31/2006 | Customer Dispute | Settled | $5,223.10 | $0.00 | See FINRA Report |
| Constance Michelle Walsh | 1192281 | 1 | 11/09/2005 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Elizabeth Coburn Derway | 1873991 | 2 | 06/13/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert John Conaty | 1441115 | 2 | 05/02/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Howard Faberman | 2572737 | 2 | 11/17/2004 | Customer Dispute | Denied | $26,346.00 | $0.00 | See FINRA Report |
| Dierdre Vallier Collins | 2428231 | 2 | 09/17/2004 | Customer Dispute | Denied | $39,959.80 | $0.00 | See FINRA Report |
| Howard Paul Gerrin | 708440 | 4 | 08/23/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William Jonathan Bettis | 1651387 | 3 | 05/24/2004 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| William Edward Spinner | 2209965 | 1 | 04/05/2004 | Customer Dispute | Settled | $444,761.00 | $0.00 | See FINRA Report |
| Nelson Nascimento Santos | 5218667 | 1 | 04/03/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |