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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Dean Allen | 1939597 | 1 | 05/05/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Neil Clark Freeman | 1283664 | 5 | 04/22/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Neil Clark Freeman | 1283664 | 5 | 01/23/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kim Gerald Allen | 1660033 | 3 | 02/12/1996 | Customer Dispute | Settled | $4,776.78 | $0.00 | See FINRA Report |
| Damon Louis Tomeo | 7324618 | 1 | 08/09/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Clark Stults | 4015639 | 1 | 10/15/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Albert Guntkowski | 4679214 | 2 | 05/05/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Russell Edward Montgomerie | 3245244 | 1 | 08/01/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frank Samuel Hennessey | 1863816 | 2 | 12/01/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Charles Kenan | 1775228 | 1 | 09/13/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |