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 |
|---|---|---|---|---|---|---|---|---|
| Mark James Palazzo | 1221009 | 3 | 07/14/2006 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Anthony Emmanuel | 2046654 | 5 | 06/29/2006 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Wendy Purner Feldman | 1636995 | 7 | 06/23/2006 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Andrew Michel | 2191014 | 3 | 06/08/2006 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Jay David Rice | 1365361 | 2 | 05/31/2006 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| James Sal Tambone | 1148904 | 3 | 05/19/2006 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Alan Martin | 2754588 | 5 | 05/05/2006 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| William Michael Stickney | 2094062 | 3 | 04/13/2006 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Ezra Yehuda Birnbaum | 1553347 | 3 | 04/04/2006 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| David Lee McMillan | 1808333 | 4 | 04/04/2006 | Civil | Final | $0.00 | $0.00 | See FINRA Report |