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 |
|---|---|---|---|---|---|---|---|---|
| Richard Thomas Grace | 2058649 | 3 | 08/16/1999 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Edward Charles Stockton | 1319844 | 4 | 08/12/1999 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Jeanne C Flynn | 1360053 | 1 | 08/11/1999 | Customer Dispute | Closed-No Action | $13,127.00 | $0.00 | See FINRA Report |
| Robert Steele Kurvin | 1092478 | 1 | 08/09/1999 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Robert David Traitz | 1158088 | 5 | 08/05/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Debra Ann Bailer | 1274395 | 1 | 08/03/1999 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Emmett Russell Ray | 2384270 | 3 | 08/02/1999 | Customer Dispute | Closed-No Action | $18,000.00 | $0.00 | See FINRA Report |
| Edward Timothy Monaco | 2186343 | 1 | 08/02/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Lawrence Charles Barrett | 13429 | 3 | 07/29/1999 | Customer Dispute | Closed-No Action | $29,143.90 | $0.00 | See FINRA Report |
| John Daniel Lazzaro | 2593566 | 1 | 07/27/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |