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 |
|---|---|---|---|---|---|---|---|---|
| Allan Michael Budelman | 3210648 | 1 | 08/08/2011 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jeremy A Kisner | 2052115 | 2 | 01/18/2011 | Customer Dispute | Award / Judgment | $499,250.00 | $31,768.00 | See FINRA Report |
| Brian Douglas Orton | 2465566 | 1 | 04/01/2010 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |
| Matthew Robert Johnson | 3095459 | 1 | 02/22/2010 | Customer Dispute | Settled | $324,575.00 | $0.00 | See FINRA Report |
| Joseph Berkson Glossberg | 2515513 | 1 | 12/28/2009 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Meagan Elizabeth O'Shaughnessy | 5938600 | 1 | 10/28/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Joseph McGinty | 2813265 | 1 | 08/07/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeremy A Kisner | 2052115 | 2 | 07/14/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scot Laurence Hunter | 1312071 | 1 | 08/27/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Darren Lee Henderson | 2923145 | 2 | 08/15/2008 | Customer Dispute | Closed-No Action | $250,000.00 | $0.00 | See FINRA Report |