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 |
|---|---|---|---|---|---|---|---|---|
| Randolph James Haag | 1075609 | 8 | 04/01/1985 | Customer Dispute | Settled | $48,000.00 | $0.00 | See FINRA Report |
| Mark Martin Kliethermes | 859892 | 2 | 03/29/1985 | Customer Dispute | Settled | $24,000.00 | $0.00 | See FINRA Report |
| John Danton Alstadt | 1086555 | 4 | 03/29/1985 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Menard S Schwartz | 416374 | 6 | 03/25/1985 | Customer Dispute | Award / Judgment | $98,751.00 | $5,790.00 | See FINRA Report |
| Brian Philip Sweeney | 716386 | 2 | 03/19/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Richard Lawson | 803706 | 2 | 03/15/1985 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Charles Gerald Simon | 424510 | 2 | 03/15/1985 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Peter Kevin Barrett | 1226095 | 2 | 03/12/1985 | Customer Dispute | Settled | $16,500.00 | $0.00 | See FINRA Report |
| Isaac Franklin Stevens | 827523 | 4 | 03/05/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alan Hillel Levine | 1396570 | 2 | 03/05/1985 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |