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 |
|---|---|---|---|---|---|---|---|---|
| Michael Clifford Hutchinson | 4826169 | 2 | 11/06/2012 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Ranjit Mangha Kripalani | 1474932 | 7 | 10/19/2012 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Norman Goldstein | 1753388 | 3 | 10/03/2012 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Andrew Quay | 5573087 | 1 | 10/02/2012 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Patrick Petticolas | 1353086 | 2 | 10/02/2012 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| John B Wilson | 5875192 | 2 | 09/28/2012 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Lindsay Rae Pameijer | 5547495 | 2 | 09/24/2012 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Nathaniel Schmickle | 4292276 | 2 | 09/24/2012 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Waldyr Silva Prado | 3170209 | 4 | 09/21/2012 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| David Lorin Rothman | 1408470 | 5 | 09/21/2012 | Civil | Final | $0.00 | $0.00 | See FINRA Report |