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 |
|---|---|---|---|---|---|---|---|---|
| Mark Alexander Addessi | 1093993 | 1 | 12/30/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Lewis Swartz | 440909 | 5 | 12/30/1985 | Customer Dispute | Award / Judgment | $37,500.00 | $19,000.00 | See FINRA Report |
| Gerald W Good | 833143 | 2 | 12/30/1985 | Customer Dispute | Settled | $60,621.60 | $0.00 | See FINRA Report |
| Henry Kenneth Bennett | 501092 | 1 | 12/26/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Curtis Franklin Bradbury | 810347 | 1 | 12/26/1985 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Robert F Gallo | 861092 | 7 | 12/26/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Franklin Harris | 1193032 | 1 | 12/24/1985 | Customer Dispute | Settled | $10,634.00 | $0.00 | See FINRA Report |
| John Raymond Polk | 365158 | 4 | 12/20/1985 | Customer Dispute | Settled | $231,466.00 | $0.00 | See FINRA Report |
| James Frederick Brennan | 821647 | 17 | 12/19/1985 | Customer Dispute | Settled | $1,900,000.00 | $0.00 | See FINRA Report |
| William R Christiaanse | 1005220 | 4 | 12/19/1985 | Customer Dispute | Settled | $269,000.00 | $0.00 | See FINRA Report |