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 |
|---|---|---|---|---|---|---|---|---|
| Ernest Julius Romer | 2311741 | 50 | 09/18/2018 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Jeffrey Caufield | 1056517 | 2 | 09/17/2018 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Tamara Rae Steele | 3227494 | 16 | 09/14/2018 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Allan Bressman | 873973 | 15 | 09/12/2018 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Richard Sichenzio | 1646936 | 4 | 09/07/2018 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Joel Nathan Burstein | 3257591 | 11 | 09/06/2018 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Eric Goldman | 2128322 | 2 | 09/05/2018 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Douglas Eikenberry | 2193289 | 3 | 09/05/2018 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Jan Holk | 1219185 | 2 | 08/31/2018 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Walter Francis Grenda | 722911 | 5 | 08/30/2018 | Civil | Final | $0.00 | $0.00 | See FINRA Report |