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 |
|---|---|---|---|---|---|---|---|---|
| David Pham | 2447712 | 5 | 05/09/2000 | Customer Dispute | Closed-No Action | $5,200.00 | $0.00 | See FINRA Report |
| Burke William Francis | 212568 | 2 | 05/09/2000 | Customer Dispute | Closed-No Action | $173,042.00 | $0.00 | See FINRA Report |
| Christopher Lee Francis | 2522727 | 2 | 05/09/2000 | Customer Dispute | Closed-No Action | $173,042.00 | $0.00 | See FINRA Report |
| Timothy Kirkpatrick Whipple | 2829688 | 1 | 05/08/2000 | Customer Dispute | Closed-No Action | $6,600.00 | $0.00 | See FINRA Report |
| Alex Shvartsman | 3017804 | 2 | 05/08/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Alex Shvartsman | 3017804 | 2 | 05/08/2000 | Customer Dispute | Closed-No Action | $8,500.00 | $0.00 | See FINRA Report |
| Kathryn Patrice Snyder | 2180304 | 1 | 05/08/2000 | Customer Dispute | Closed-No Action | $135,000.00 | $0.00 | See FINRA Report |
| Louis Michael Pugliese | 1604790 | 4 | 05/08/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Patrick Kevin McKiernan | 2436184 | 1 | 05/05/2000 | Customer Dispute | Closed-No Action | $31,200.00 | $0.00 | See FINRA Report |
| Thomas Joseph Hine | 2000926 | 1 | 05/04/2000 | Customer Dispute | Closed-No Action | $42,800.00 | $0.00 | See FINRA Report |