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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Richard Garvin | 1481768 | 2 | 11/16/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Francis Baumann | 1518081 | 1 | 04/21/2023 | Customer Dispute | Pending | $295,000.00 | $0.00 | See FINRA Report |
| Catherine Mae Milano | 3003075 | 10 | 08/14/2012 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Shawn Gary O | 2494631 | 1 | 12/23/2011 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Daniel Richard Garvin | 1481768 | 2 | 12/01/2011 | Customer Dispute | Award / Judgment | $50,000.00 | $40,000.00 | See FINRA Report |
| Lynn Seldon Bridges | 1492165 | 2 | 02/01/2006 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |
| Catherine Mae Milano | 3003075 | 10 | 04/12/2001 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Lynn Seldon Bridges | 1492165 | 2 | 08/28/1997 | Customer Dispute | Award / Judgment | $26,000.00 | $35,000.00 | See FINRA Report |