Our Staff has compiled our research into a database of FINRA Broker Disclosures. 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 |
|---|---|---|---|---|---|---|---|---|
| David Sanford Wolfe | 1019315 | 5 | 10/27/2021 | Customer Dispute | Award / Judgment | $255,000.00 | $178,814.00 | See FINRA Report |
| Robert William Quinlan | 4182804 | 2 | 10/15/2021 | Customer Dispute | Award / Judgment | $49,800.00 | $300.00 | See FINRA Report |
| Wilson Gordon Saville | 1406756 | 4 | 09/23/2021 | Customer Dispute | Award / Judgment | $1,200,000.00 | $534,397.00 | See FINRA Report |
| Charles Edward White | 1345688 | 9 | 09/23/2021 | Customer Dispute | Award / Judgment | $1,200,000.00 | $534,397.00 | See FINRA Report |
| Jamie John Worden | 4637404 | 26 | 09/17/2021 | Customer Dispute | Award / Judgment | $916,622.00 | $0.00 | See FINRA Report |
| James Wallace Woods | 734272 | 33 | 09/02/2021 | Customer Dispute | Award / Judgment | $1,400,000.00 | $36,745,100.00 | See FINRA Report |
| John Justin Woods | 1949233 | 42 | 09/02/2021 | Customer Dispute | Award / Judgment | $1,400,000.00 | $36,745,100.00 | See FINRA Report |
| Michael Jeremiah Mooney | 4037101 | 38 | 09/02/2021 | Customer Dispute | Award / Judgment | $1,400,000.00 | $36,745,100.00 | See FINRA Report |
| Richard Thomas Iannacone | 254526 | 1 | 09/02/2021 | Customer Dispute | Award / Judgment | $100,000.00 | $16,415.30 | See FINRA Report |
| Michael Richard Rosalia | 2323953 | 21 | 08/25/2021 | Customer Dispute | Award / Judgment | $1,606,030.00 | $0.00 | See FINRA Report |