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 |
|---|---|---|---|---|---|---|---|---|
| Louis Cuomo | 4058531 | 2 | 05/31/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tara Elizabeth Stewart | 5208334 | 1 | 11/13/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Louis Cuomo | 4058531 | 2 | 06/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Spaventa | 6175466 | 4 | 09/06/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Salvatore Charles Caruso | 2363696 | 2 | 08/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Spaventa | 6175466 | 4 | 04/03/2018 | Customer Dispute | Settled | $114,357.00 | $0.00 | See FINRA Report |
| Andrew Spaventa | 6175466 | 4 | 09/05/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Salvatore Charles Caruso | 2363696 | 2 | 05/16/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Spaventa | 6175466 | 4 | 08/24/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |