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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Edwards Grimm | 2702276 | 3 | 05/19/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Leonard Defreze | 1051820 | 2 | 09/22/2004 | Customer Dispute | Settled | $1,085,000.00 | $0.00 | See FINRA Report |
| Steven George Collins | 1587182 | 8 | 05/03/2004 | Customer Dispute | Denied | $14,678.70 | $0.00 | See FINRA Report |
| Steven George Collins | 1587182 | 8 | 11/07/2003 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Steven George Collins | 1587182 | 8 | 03/11/2003 | Customer Dispute | Denied | $93,971.00 | $0.00 | See FINRA Report |
| Robert Joseph Ryder | 1385076 | 5 | 01/31/2003 | Customer Dispute | Settled | $111,329.00 | $0.00 | See FINRA Report |
| Gregory Lewis Stephens | 2394057 | 1 | 01/09/2003 | Customer Dispute | Denied | $52,000.00 | $0.00 | See FINRA Report |
| Robert Leonard Defreze | 1051820 | 2 | 04/19/2002 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Robert Joseph Ryder | 1385076 | 5 | 08/24/2001 | Customer Dispute | Denied | $29,214.60 | $0.00 | See FINRA Report |
| Robert Joseph Ryder | 1385076 | 5 | 02/28/2001 | Customer Dispute | Denied | $10,136.10 | $0.00 | See FINRA Report |