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 |
|---|---|---|---|---|---|---|---|---|
| David M Kujawa | 5156115 | 1 | 05/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jennifer Suzette Frick | 2626107 | 2 | 11/20/2022 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Natasha Boris Titova | 4079963 | 1 | 04/01/2020 | Customer Dispute | Denied | $53,000.00 | $0.00 | See FINRA Report |
| Joshua John Sands | 5517842 | 1 | 09/26/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Samuel Paul Lee | 5847142 | 1 | 05/14/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Douglas W O'Connell | 4538806 | 1 | 08/02/2016 | Customer Dispute | Denied | $51,842.00 | $0.00 | See FINRA Report |
| Jeffrey L Menough | 2207101 | 2 | 06/20/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Richard Rohrwasser | 1131231 | 3 | 01/20/2015 | Customer Dispute | Settled | $1,190,530.00 | $0.00 | See FINRA Report |
| Michael Richard Rohrwasser | 1131231 | 3 | 06/24/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Thomas Smith | 4086330 | 3 | 05/15/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |