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 |
|---|---|---|---|---|---|---|---|---|
| Tony Alan Tolene | 5730068 | 5 | 11/10/2023 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Smith | 4455394 | 1 | 04/11/2023 | Customer Dispute | Pending | $53,000.00 | $0.00 | See FINRA Report |
| David Adam Rookasin | 5760016 | 2 | 01/31/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |