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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Aloysius Dunn | 2091676 | 3 | 11/22/2013 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Eric Keith Schrott | 4443832 | 2 | 02/26/2013 | Customer Dispute | Closed-No Action | $214,000.00 | $0.00 | See FINRA Report |
| David Georg Grabner | 1661975 | 1 | 12/28/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Debra Lou Stein | 1375270 | 3 | 06/27/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Raleigh Edward Kraft | 1036719 | 5 | 06/25/2012 | Customer Dispute | Denied | $24,577.00 | $0.00 | See FINRA Report |
| Debra Lou Stein | 1375270 | 3 | 05/08/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Ganz | 502532 | 1 | 11/15/2011 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Michael Stephen Wallman | 2748286 | 2 | 08/29/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Timothy Joseph Glennon | 3102179 | 1 | 06/22/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Conrad Anthony Tarte | 728899 | 4 | 11/04/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |