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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Sean Musuneggi | 3124308 | 1 | 01/27/2016 | Customer Dispute | Settled | $5,695.54 | $0.00 | See FINRA Report |
| Alan Levine | 3114259 | 1 | 05/24/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Norman Dowd | 2668264 | 1 | 05/01/2009 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| John Francis Stohlman | 2213177 | 1 | 11/03/2008 | Customer Dispute | Settled | $9,114.00 | $0.00 | See FINRA Report |
| Richard Horace Hoffman | 247863 | 2 | 09/17/2008 | Customer Dispute | Settled | $39,865.60 | $0.00 | See FINRA Report |
| Kirk Driver Miller | 1587745 | 1 | 07/02/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin Devon Olison | 2362526 | 5 | 03/01/2006 | Customer Dispute | Settled | $7,832.81 | $0.00 | See FINRA Report |
| Eddy Han Tak Shum | 1856001 | 6 | 12/17/2004 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Eddy Han Tak Shum | 1856001 | 6 | 09/10/2004 | Customer Dispute | Settled | $860,000.00 | $0.00 | See FINRA Report |
| William Paul Morgan | 1532049 | 1 | 07/19/2004 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |