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 | 06/30/2003 | Customer Dispute | Denied | $223,610.00 | $0.00 | See FINRA Report |
| John Henry Cierski | 2138486 | 6 | 11/12/1999 | Customer Dispute | Denied | $25,500.00 | $0.00 | See FINRA Report |
| John Henry Cierski | 2138486 | 6 | 02/26/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Henry Cierski | 2138486 | 6 | 01/04/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Henry Cierski | 2138486 | 6 | 03/19/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Henry Cierski | 2138486 | 6 | 07/23/1996 | Employment Separation After Allegations | $0.00 | $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 |