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 |
|---|---|---|---|---|---|---|---|---|
| Kathryn Ann Stefanon | 1125571 | 1 | 08/25/1997 | Customer Dispute | Closed-No Action | $185,910.00 | $0.00 | See FINRA Report |
| Stephen Dennis Regan | 1290958 | 13 | 08/23/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Evan Richard Wuhl | 867812 | 17 | 08/20/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Steve Francis Ricci | 1772842 | 1 | 08/19/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kenneth David Blumenfeld | 1887464 | 4 | 08/18/1997 | Customer Dispute | Closed-No Action | $14,000.00 | $0.00 | See FINRA Report |
| Rupinder Kaur Somal | 1708398 | 2 | 06/24/1997 | Customer Dispute | Closed-No Action | $0.00 | $45,365.90 | See FINRA Report |
| Clifford Ronald Reid | 1905920 | 6 | 06/17/1997 | Customer Dispute | Closed-No Action | $211,750.00 | $0.00 | See FINRA Report |
| Steven Leigh Anderson | 5573 | 4 | 10/19/1994 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Edward Y Tom | 1655996 | 5 | 07/19/1994 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Thomas Charles Rooney | 852679 | 7 | 11/10/1993 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |