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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Scott Bockstein | 2334040 | 1 | 03/04/2005 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Stephen Alan Shepherd | 2086695 | 1 | 07/06/2004 | Customer Dispute | Denied | $26,000.00 | $0.00 | See FINRA Report |
| Steven Buffardi | 2707719 | 2 | 05/19/2004 | Customer Dispute | Denied | $40,777.00 | $0.00 | See FINRA Report |
| Mark Maldonado | 2494010 | 2 | 03/18/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Hilda Romagosa | 2703765 | 1 | 12/16/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jeffrey Lee Crum | 2072761 | 2 | 05/21/2003 | Customer Dispute | Denied | $36,557.00 | $0.00 | See FINRA Report |
| Daniel Roth Levene | 1134801 | 2 | 04/30/2003 | Customer Dispute | Denied | $77,709.00 | $0.00 | See FINRA Report |
| Brian Earl Soistmann | 2816687 | 2 | 03/19/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Mark Smith | 2298705 | 3 | 10/31/2002 | Customer Dispute | Denied | $170,000.00 | $0.00 | See FINRA Report |
| Joseph Anthony Degonge | 2654371 | 2 | 10/22/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |