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 |
|---|---|---|---|---|---|---|---|---|
| Richard Lowell Goldman | 224369 | 3 | 11/30/-0001 | Customer Dispute | Award / Judgment | $27,000.00 | $20,000.00 | See FINRA Report |
| Holly Lee Hendrix | 836958 | 10 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $3,000.00 | See FINRA Report |
| Joel R Wohl | 704995 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $16,438.30 | See FINRA Report |
| Helen A Wathen | 708100 | 2 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $7,500.00 | See FINRA Report |
| Donald Charles Zepp | 476327 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $3,800,000.00 | $1,492,300.00 | See FINRA Report |
| Barry Michael Vener | 865839 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $8,658.00 | $3,000.00 | See FINRA Report |
| Edward David Aboudi | 378 | 2 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $32,872.00 | See FINRA Report |
| Gene MacKevich | 316167 | 11 | 11/30/-0001 | Customer Dispute | Award / Judgment | $3,102.00 | $55.00 | See FINRA Report |
| Melvin H Greenberg | 228786 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $15,000.00 | $2,000.00 | See FINRA Report |
| William Jon Grombala | 1209225 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $725.00 | See FINRA Report |