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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Alan Axelrod | 1349884 | 1 | 05/31/1985 | Customer Dispute | Award / Judgment | $8,082.60 | $12,000.00 | See FINRA Report |
| Laura Jane Pendletonmiller | 702454 | 4 | 05/24/1985 | Customer Dispute | Settled | $21,982.30 | $0.00 | See FINRA Report |
| Gerard Joseph Kohler | 273275 | 1 | 05/24/1985 | Customer Dispute | Award / Judgment | $195,000.00 | $120,782.00 | See FINRA Report |
| John Carter Forbes | 706054 | 3 | 05/23/1985 | Customer Dispute | Award / Judgment | $14,200.00 | $14,200.00 | See FINRA Report |
| Paul John Robinson | 401768 | 3 | 05/22/1985 | Customer Dispute | Settled | $228,055.00 | $0.00 | See FINRA Report |
| Clarence Seese | 719929 | 1 | 05/20/1985 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| James Richard Lawson | 803706 | 2 | 05/15/1985 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Kirk Gerard Aguer | 1852 | 12 | 05/07/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Ira Yanofsky | 870054 | 10 | 05/01/1985 | Customer Dispute | Award / Judgment | $2,455.00 | $750.00 | See FINRA Report |
| Frederick Sanford Frederickson | 213468 | 2 | 05/01/1985 | Customer Dispute | Award / Judgment | $140,000.00 | $15,000.00 | See FINRA Report |