Our Staff has compiled our research into a database of FINRA Broker Disclosures for J. Alden Associates, Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Mark Parker | 720309 | 1 | 01/08/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Alan Anderson | 1100996 | 3 | 05/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Francis Dolan | 1240315 | 4 | 05/18/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Allen Huggins Johnson | 1578606 | 1 | 10/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Thomas Pawloski | 1438717 | 6 | 05/25/2017 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Peter Alden Engelbach | 201177 | 5 | 09/22/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Thomas Pawloski | 1438717 | 6 | 08/01/2016 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Brian James McCafferty | 704729 | 6 | 06/08/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian James McCafferty | 704729 | 6 | 05/28/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Thomas Pawloski | 1438717 | 6 | 08/22/2014 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |