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 |
|---|---|---|---|---|---|---|---|---|
| Bernard James Lally | 300851 | 2 | 02/14/1980 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See FINRA Report |
| Samuel Rex Douglass | 861181 | 1 | 02/01/1980 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Gropper | 230715 | 1 | 02/01/1980 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Barry Phillip West | 826595 | 10 | 01/01/1980 | Customer Dispute | Award / Judgment | $40,870.00 | $20,000.00 | See FINRA Report |
| Robert Louis Takacs | 834001 | 6 | 01/01/1980 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bernard James Lally | 300851 | 2 | 01/01/1980 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin Eugene Wagner | 866514 | 1 | 01/01/1980 | Customer Dispute | Award / Judgment | $0.00 | $200,000.00 | See FINRA Report |
| Susan Marie Handa | 860694 | 2 | 01/01/1980 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Terry Dale Lester | 817499 | 14 | 01/01/1980 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Joseph Kubicek | 827659 | 1 | 01/01/1980 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |