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 |
|---|---|---|---|---|---|---|---|---|
| Richard Claude Donnelly | 728521 | 2 | 02/01/1983 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 01/26/1983 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Thomas W Alison | 3005 | 35 | 01/26/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Dennis Herrmann | 244194 | 4 | 01/18/1983 | Customer Dispute | Award / Judgment | $628,361.00 | $266,807.00 | See FINRA Report |
| Gary Jon Sampson | 1307676 | 1 | 01/15/1983 | Customer Dispute | Settled | $406,000.00 | $0.00 | See FINRA Report |
| Carey Dunn Tremaine | 722985 | 2 | 01/05/1983 | Customer Dispute | Award / Judgment | $10,757.10 | $10,757.10 | See FINRA Report |
| Carey Dunn Tremaine | 722985 | 2 | 01/05/1983 | Customer Dispute | Award / Judgment | $10,757.10 | $10,917.00 | See FINRA Report |
| Dominic John Guido | 231738 | 7 | 01/05/1983 | Customer Dispute | Settled | $390,000.00 | $0.00 | See FINRA Report |
| Bonnie Renee Schultz | 869126 | 2 | 01/01/1983 | Customer Dispute | Award / Judgment | $42,000.00 | $46,300.00 | See FINRA Report |
| Bradley David Lacy | 1032667 | 1 | 01/01/1983 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |