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 |
|---|---|---|---|---|---|---|---|---|
| Gerald E Shaw | 1305370 | 4 | 05/22/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eric J Negron | 5378359 | 6 | 02/13/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eric J Negron | 5378359 | 6 | 02/13/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eric J Negron | 5378359 | 6 | 12/17/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald E Shaw | 1305370 | 4 | 08/09/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald E Shaw | 1305370 | 4 | 08/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melissa Murphy Pavone | 5052186 | 1 | 01/07/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Amy Lynn Colton | 5966664 | 14 | 09/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Lynn Colton | 5966664 | 14 | 09/06/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric J Negron | 5378359 | 6 | 08/13/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |