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 |
|---|---|---|---|---|---|---|---|---|
| Brian David Rockowitz | 1892992 | 6 | 12/15/2022 | Customer Dispute | Closed-No Action | $8,985.00 | $0.00 | See FINRA Report |
| Brian David Rockowitz | 1892992 | 6 | 04/26/2021 | Customer Dispute | Settled | $106,882.00 | $0.00 | See FINRA Report |
| Brian David Rockowitz | 1892992 | 6 | 04/08/2020 | Customer Dispute | Settled | $47,888.00 | $0.00 | See FINRA Report |
| Anton Joseph Gerdes | 1010083 | 1 | 03/15/2019 | Customer Dispute | Withdrawn | $640,855.00 | $0.00 | See FINRA Report |
| David Stanley Kaplan | 1176065 | 5 | 12/02/2014 | Customer Dispute | Settled | $875,000.00 | $0.00 | See FINRA Report |
| Brian David Rockowitz | 1892992 | 6 | 02/07/2013 | Customer Dispute | Settled | $10,985.50 | $0.00 | See FINRA Report |
| John Henry Cierski | 2138486 | 6 | 03/07/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| David Stanley Kaplan | 1176065 | 5 | 09/30/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Stanley Kaplan | 1176065 | 5 | 03/11/2009 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Brian David Rockowitz | 1892992 | 6 | 03/15/2006 | Customer Dispute | Settled | $8,663.04 | $0.00 | See FINRA Report |