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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Carl Rubin | 736859 | 1 | 10/16/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Antone Peter Keller | 266486 | 1 | 10/15/1998 | Customer Dispute | Closed-No Action | $32,396.00 | $0.00 | See FINRA Report |
| Daniel P O'Sullivan | 2616436 | 1 | 10/15/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mark Alan Kemp | 2057200 | 15 | 10/14/1998 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Stefanie Ann Scarp | 2801968 | 1 | 10/12/1998 | Customer Dispute | Closed-No Action | $11,485.00 | $0.00 | See FINRA Report |
| Mark Raymond Palmer | 2546710 | 2 | 10/09/1998 | Customer Dispute | Closed-No Action | $13,392.00 | $0.00 | See FINRA Report |
| Ross Louis Marino | 1881080 | 1 | 10/08/1998 | Customer Dispute | Closed-No Action | $35,598.00 | $0.00 | See FINRA Report |
| Matthew Depinto | 2612618 | 1 | 10/08/1998 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Lance Allan Moody | 2411418 | 2 | 10/08/1998 | Customer Dispute | Closed-No Action | $18,086.50 | $0.00 | See FINRA Report |
| William David Woodmansee | 1857491 | 3 | 10/08/1998 | Customer Dispute | Closed-No Action | $1,814,770.00 | $0.00 | See FINRA Report |