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 |
|---|---|---|---|---|---|---|---|---|
| John Aaron Kilpatrick | 1011529 | 1 | 01/10/1986 | Customer Dispute | Award / Judgment | $12,000.00 | $144,370.00 | See FINRA Report |
| John Martin Foss | 211655 | 13 | 01/10/1986 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Joseph Alan Currier | 715423 | 5 | 01/09/1986 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| David Paul Frazer | 213290 | 5 | 01/06/1986 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Michael Ralph Giordano | 868064 | 1 | 01/03/1986 | Customer Dispute | Award / Judgment | $13,500.00 | $6,400.00 | See FINRA Report |
| Lynn Wood Hall | 234215 | 1 | 01/03/1986 | Customer Dispute | Award / Judgment | $39,601.00 | $31,871.00 | See FINRA Report |
| John Richard Shipman | 1183159 | 4 | 01/01/1986 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Robert Floyd Roland | 403171 | 5 | 01/01/1986 | Customer Dispute | Award / Judgment | $0.00 | $12,500.00 | See FINRA Report |
| Gary Mark Goldberg | 223919 | 31 | 01/01/1986 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Alfred Gaillard | 216471 | 1 | 01/01/1986 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |