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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Gregory Quinn | 1676336 | 1 | 04/02/1998 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| William Docherty Marler | 2166060 | 6 | 04/02/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Edward Rulison | 407131 | 5 | 03/31/1998 | Customer Dispute | Closed-No Action | $27,519.00 | $0.00 | See FINRA Report |
| Frank Alan Siegal | 1523973 | 1 | 03/30/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Scott Richard Kramer | 1196818 | 3 | 03/30/1998 | Customer Dispute | Closed-No Action | $5,325.00 | $0.00 | See FINRA Report |
| Philip Dwayne Summers | 1421245 | 2 | 03/27/1998 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Philip Dewitt Estabrook | 812722 | 1 | 03/26/1998 | Customer Dispute | Closed-No Action | $83,680.20 | $0.00 | See FINRA Report |
| John Charles Mathieson | 1179794 | 2 | 03/26/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christopher R Cochrane | 2121318 | 9 | 03/26/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mitchell Geoffrey Goldman | 1272999 | 3 | 03/25/1998 | Customer Dispute | Closed-No Action | $32,000.00 | $0.00 | See FINRA Report |