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 |
|---|---|---|---|---|---|---|---|---|
| Mohit Anand Khanna | 4156626 | 5 | 08/17/2009 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Mohit Anand Khanna | 4156626 | 5 | 08/17/2009 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Morris Kantrowitz | 1210994 | 3 | 08/17/2009 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Dipascali | 1527021 | 2 | 08/11/2009 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Brion Gary Randall | 2612584 | 4 | 08/06/2009 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Glenn Bard | 2447501 | 5 | 07/30/2009 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| John Joseph Bravata | 2279726 | 3 | 07/26/2009 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| James Howard Pollak | 2310056 | 2 | 07/22/2009 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Deborah Ann Duffy | 1683496 | 3 | 07/21/2009 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Ross H Mandell | 1219720 | 14 | 07/08/2009 | Civil | Final | $0.00 | $0.00 | See FINRA Report |