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 |
|---|---|---|---|---|---|---|---|---|
| Annette Brandler Blank | 866603 | 6 | 07/13/1998 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Matthew Winthrop | 2445102 | 5 | 07/13/1998 | Customer Dispute | Closed-No Action | $55,834.00 | $0.00 | See FINRA Report |
| Bryan Edward Mills | 2164873 | 6 | 07/13/1998 | Customer Dispute | Closed-No Action | $54,000.00 | $0.00 | See FINRA Report |
| Craig L Somerby | 1499942 | 1 | 07/09/1998 | Customer Dispute | Closed-No Action | $373,000.00 | $0.00 | See FINRA Report |
| Kirby Clifford Smith | 710341 | 1 | 07/06/1998 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Mark Clinton Herring | 1606291 | 2 | 07/06/1998 | Customer Dispute | Closed-No Action | $7,878.00 | $0.00 | See FINRA Report |
| Thomas Charles Chance | 874163 | 3 | 07/06/1998 | Customer Dispute | Closed-No Action | $75,000.00 | $0.00 | See FINRA Report |
| John Robert Gilling | 724969 | 6 | 07/02/1998 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Robert Erwin Gallagher | 2423072 | 1 | 06/30/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Steven Jay Schiavo | 1164805 | 2 | 06/30/1998 | Customer Dispute | Closed-No Action | $9,767.87 | $0.00 | See FINRA Report |