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 |
|---|---|---|---|---|---|---|---|---|
| Todd Neil Kanter | 867688 | 2 | 03/04/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Susan Pauline Emerson | 863229 | 2 | 03/02/1983 | Customer Dispute | Award / Judgment | $14,000.00 | $14,000.00 | See FINRA Report |
| Jack Roland Warner | 459148 | 2 | 03/01/1983 | Customer Dispute | Award / Judgment | $394,399.00 | $40,000.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 03/01/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Harry Leonard Hackett | 232927 | 2 | 02/04/1983 | Customer Dispute | Award / Judgment | $0.00 | $675,000.00 | See FINRA Report |
| Christopher Michael Schrobilgen | 415228 | 2 | 02/04/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Randall Rogers Bryan | 33917 | 4 | 02/01/1983 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Margaret Lois Penza | 1978275 | 1 | 02/01/1983 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Darrell Richard May | 1034301 | 1 | 02/01/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dennis Hammett Kaboth | 730844 | 3 | 02/01/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |