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 |
|---|---|---|---|---|---|---|---|---|
| David Roger Primozich | 2731982 | 1 | 05/28/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rosemary Taverna | 1244454 | 1 | 06/15/2017 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| John Christian Dady | 2421007 | 1 | 02/11/2014 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Charles L Failla | 2628097 | 1 | 04/09/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Raymond Buoni | 2943956 | 1 | 04/22/2010 | Customer Dispute | Denied | $200,021.00 | $0.00 | See FINRA Report |
| Barton Lester Young | 2324545 | 1 | 04/03/2008 | Customer Dispute | Award / Judgment | $13,458.10 | $13,458.10 | See FINRA Report |
| John Karl Kochersperger | 2724807 | 2 | 02/12/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Karl Kochersperger | 2724807 | 2 | 07/03/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |