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 |
|---|---|---|---|---|---|---|---|---|
| Michael Alan Biedny | 867868 | 5 | 04/10/1984 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| John Hamilton Hume | 1686277 | 1 | 04/10/1984 | Customer Dispute | Award / Judgment | $500.00 | $700.00 | See FINRA Report |
| Christopher Dane Mahoney | 844399 | 3 | 04/01/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Philip Allan Berkheimer | 19460 | 1 | 04/01/1984 | Customer Dispute | Award / Judgment | $100,000.00 | $20,000.00 | See FINRA Report |
| Suzan Beth Kotler | 840921 | 1 | 04/01/1984 | Customer Dispute | Award / Judgment | $11,506.00 | $1,750.00 | See FINRA Report |
| Thomas Lee Ledbetter | 1612347 | 7 | 04/01/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Stafford | 433163 | 9 | 03/30/1984 | Customer Dispute | Settled | $595,000.00 | $0.00 | See FINRA Report |
| James Wilfred Higgins | 245368 | 1 | 03/21/1984 | Customer Dispute | Award / Judgment | $9,147.00 | $16,750.00 | See FINRA Report |
| Patrick Spooner | 432459 | 4 | 03/21/1984 | Customer Dispute | Settled | $47,500.00 | $0.00 | See FINRA Report |
| Conrad Robert Pensavalle | 717575 | 2 | 03/19/1984 | Customer Dispute | Award / Judgment | $25,878.20 | $13,500.00 | See FINRA Report |