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 |
|---|---|---|---|---|---|---|---|---|
| William Frederick Getz | 1226177 | 1 | 01/08/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Alexander Rice | 2269699 | 4 | 01/08/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Michael Levy | 2255938 | 17 | 01/08/1998 | Customer Dispute | Closed-No Action | $1,000,000.00 | $0.00 | See FINRA Report |
| James Ray Cotto | 1663495 | 7 | 01/06/1998 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Michael James Piskule | 1315088 | 3 | 01/01/1998 | Customer Dispute | Closed-No Action | $9,977.65 | $0.00 | See FINRA Report |
| Jeffrey Sean Fodor | 2183068 | 1 | 12/30/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Louis Armand Rodriguez Nader | 826358 | 35 | 12/29/1997 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Yung P Koh | 2064958 | 1 | 12/29/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Roy H Savarick | 858684 | 4 | 12/26/1997 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Manuel Antonio Rivero | 1902455 | 3 | 12/22/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |