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 |
|---|---|---|---|---|---|---|---|---|
| Katherine M Fischer-Costello | 703757 | 1 | 05/08/1998 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |
| Alan J Goldfarb | 1392581 | 1 | 05/06/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Barry Michael Papa | 1269778 | 1 | 05/06/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Jude Mattes | 711974 | 2 | 05/05/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kevin Landis | 2325460 | 3 | 05/02/1998 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Charles Roy Albanese | 2106474 | 1 | 05/01/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jim D Bashor | 1090317 | 3 | 04/28/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Robert Dean | 63216 | 1 | 04/22/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Andrew Kaye Klinger | 1974398 | 6 | 04/22/1998 | Customer Dispute | Closed-No Action | $16,940.80 | $0.00 | See FINRA Report |
| Ronald Edward Wilson | 1449510 | 1 | 04/21/1998 | Customer Dispute | Closed-No Action | $1,500.00 | $0.00 | See FINRA Report |