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 |
|---|---|---|---|---|---|---|---|---|
| Brian Norton Caine | 1581620 | 1 | 12/23/1998 | Customer Dispute | Closed-No Action | $223,000.00 | $0.00 | See FINRA Report |
| Charles E Cawley | 1024066 | 3 | 12/23/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gregg William Gravenstine | 1762521 | 4 | 12/23/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Claud Baruch | 14213 | 5 | 12/16/1998 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| David D Doll | 2044885 | 1 | 12/15/1998 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Steven Charles Guggenheimer | 1646257 | 3 | 12/11/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Timothy John Bober | 1992277 | 1 | 12/11/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Howard Titen | 1040033 | 1 | 12/09/1998 | Customer Dispute | Closed-No Action | $362,000.00 | $0.00 | See FINRA Report |
| Brian Jay Ullman | 837262 | 3 | 12/08/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Stephen Hardy | 1038473 | 1 | 12/07/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |