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 | 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 |
| 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 |
| 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 |
| David Stanley Kaplan | 1176065 | 5 | 08/20/1993 | Customer Dispute | Settled | $34,604.00 | $0.00 | See FINRA Report |
| David Stanley Kaplan | 1176065 | 5 | 06/15/1992 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |