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 |
|---|---|---|---|---|---|---|---|---|
| Berdj Joseph Rassam | 4599559 | 2 | 10/05/2004 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| James Joseph Russo | 2269569 | 1 | 09/14/2004 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| David Locy | 817730 | 4 | 09/10/2004 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Tomas Edgardo Colon Millan | 1560874 | 2 | 09/09/2004 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Joseph Hourican | 2068322 | 3 | 08/30/2004 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| James Yungfu Lin | 1388988 | 2 | 08/25/2004 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Kraig Loris Kibble | 1811405 | 2 | 08/25/2004 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Bradley T Smith | 1782688 | 2 | 08/11/2004 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| William Joseph Lennon | 2276185 | 3 | 07/30/2004 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Sidney Mondschein | 2064081 | 4 | 07/27/2004 | Civil | Final | $0.00 | $0.00 | See FINRA Report |