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 |
|---|---|---|---|---|---|---|---|---|
| Robert Alton Uptegraff | 1973068 | 3 | 03/09/2004 | Customer Dispute | Settled | $291,135.00 | $0.00 | See FINRA Report |
| Kevin Joseph Conway | 1333996 | 1 | 11/24/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eddy Han Tak Shum | 1856001 | 6 | 11/10/2003 | Customer Dispute | Settled | $386,645.00 | $0.00 | See FINRA Report |
| Eddy Han Tak Shum | 1856001 | 6 | 05/23/2003 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Mark Philip Skibbie | 2178693 | 1 | 04/18/2001 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Robert Alton Uptegraff | 1973068 | 3 | 10/04/2000 | Customer Dispute | Settled | $192,293.00 | $0.00 | See FINRA Report |
| Thomas Martin Prybylo | 826638 | 5 | 01/29/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Martin Prybylo | 826638 | 5 | 02/18/1997 | Customer Dispute | Settled | $71,822.00 | $0.00 | See FINRA Report |
| Barry David Barton Silver | 1106944 | 5 | 10/22/1993 | Customer Dispute | Settled | $39,403.00 | $0.00 | See FINRA Report |
| Barry David Barton Silver | 1106944 | 5 | 10/21/1993 | Customer Dispute | Settled | $8,520.00 | $0.00 | See FINRA Report |