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 |
|---|---|---|---|---|---|---|---|---|
| Francis Michael Gutrich | 1628258 | 1 | 01/19/2012 | Customer Dispute | Denied | $82,129.00 | $0.00 | See FINRA Report |
| Scott Charles Kurkjian | 4165283 | 1 | 01/04/2011 | Customer Dispute | Settled | $144,000.00 | $0.00 | See FINRA Report |
| Jennifer Suzette Frick | 2626107 | 2 | 04/05/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dory Ann Rodriguez | 4400437 | 1 | 10/20/2009 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Stephen Mark Visser | 3023343 | 2 | 09/16/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Richard Ostrander | 1794204 | 1 | 10/08/2008 | Customer Dispute | Withdrawn | $31,946.00 | $0.00 | See FINRA Report |
| Michael Richard Rohrwasser | 1131231 | 3 | 07/06/2008 | Customer Dispute | Settled | $63,480.00 | $0.00 | See FINRA Report |
| Michael Thomas Smith | 4086330 | 3 | 04/15/2008 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Stephen Mark Visser | 3023343 | 2 | 10/11/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Thomas Smith | 4086330 | 3 | 06/05/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |