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FINRA Broker Disclosures

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.

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Displaying 8,591-8,600 out of 9,276 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Marguerite Maria Panico Fiori2968685203/30/2000Customer DisputeClosed-No Action$15,000.00$0.00See FINRA Report
Robert William Taylor2596525103/29/2000Customer DisputeClosed-No Action$9,000.00$0.00See FINRA Report
David Alan Smith2310306303/28/2000Customer DisputeClosed-No Action$8,000.00$8,000.00See FINRA Report
Daniel Jacob Goldstein1670739103/27/2000Customer DisputeClosed-No Action$199,819.00$0.00See FINRA Report
Elissa Johnson2125321203/25/2000Customer DisputeClosed-No Action$7,633.90$0.00See FINRA Report
Stephen John McHale2864314103/24/2000Customer DisputeClosed-No Action$5,000.00$0.00See FINRA Report
Ernest Michael Bush1580389303/23/2000Customer DisputeClosed-No Action$41,500.00$0.00See FINRA Report
Edmond Joseph Bristow30858103/23/2000Customer DisputeClosed-No Action$5,000.00$0.00See FINRA Report
Robert Foster Woodcock1575147203/22/2000Customer DisputeClosed-No Action$0.00$0.00See FINRA Report
Michael Scott Currier2244220103/22/2000Customer DisputeClosed-No Action$0.00$0.00See FINRA Report

9,276 Results

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