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FINRA Broker Disclosures for

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.

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Displaying 71-80 out of 136 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Michael Joseph O'Malley810816211/02/2010Employment Separation After Allegations$0.00$0.00See FINRA Report
Terry Michael Reinhart2809373110/13/2010Customer DisputeAward / Judgment$100,000.00$55,000.00See FINRA Report
Alan Levine3114259105/24/2010Customer DisputeSettled$0.00$0.00See FINRA Report
Robert Willis Lester1831092403/01/2010Customer DisputeDenied$5,000.00$0.00See FINRA Report
Richard Horace Hoffman247863201/29/2010Employment Separation After Allegations$0.00$0.00See FINRA Report
William Keith Colvett4311759110/30/2009Employment Separation After Allegations$0.00$0.00See FINRA Report
David Glenn Haislip714334107/15/2009Customer DisputeDenied$45,752.80$0.00See FINRA Report
Daniel Norman Dowd2668264105/01/2009Customer DisputeSettled$200,000.00$0.00See FINRA Report
Robert William Stankowski2650157104/29/2009Employment Separation After Allegations$0.00$0.00See FINRA Report
Charles Norman Peiffer1818413104/27/2009Customer DisputeDenied$0.00$0.00See FINRA Report

136 Results

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