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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Michael Faller | 1564021 | 3 | 03/12/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Steven Jay Austin | 1571424 | 1 | 03/12/1999 | Customer Dispute | Closed-No Action | $8,688.37 | $0.00 | See FINRA Report |
| Jonathan Craig Rich | 2271478 | 6 | 03/11/1999 | Customer Dispute | Closed-No Action | $8,700.00 | $0.00 | See FINRA Report |
| John Andrew Bodnar | 714669 | 8 | 03/08/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kevin Robert Barnett | 2295326 | 1 | 03/08/1999 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Cynthia Maresca Boyle | 842081 | 1 | 03/05/1999 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Samuel James Tippet | 2438532 | 1 | 03/03/1999 | Customer Dispute | Closed-No Action | $21,000.00 | $0.00 | See FINRA Report |
| John Raben | 1492334 | 1 | 03/01/1999 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Steven John Brockmann | 2637900 | 3 | 03/01/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Harold Marion Gurgone | 232156 | 3 | 02/27/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |