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 Thomas Fisher | 208737 | 1 | 05/23/1974 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Alan Kasen | 264699 | 2 | 05/01/1974 | Customer Dispute | Award / Judgment | $6,000.00 | $1,500.00 | See FINRA Report |
| Perry Joseph Lyons | 315440 | 1 | 04/22/1974 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 04/17/1974 | Customer Dispute | Award / Judgment | $0.00 | $174,000.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 04/17/1974 | Customer Dispute | Award / Judgment | $0.00 | $350,000.00 | See FINRA Report |
| George Webb Fellows | 206062 | 4 | 02/26/1974 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Charles Barrett | 13452 | 2 | 08/06/1973 | Customer Dispute | Award / Judgment | $0.00 | $13,102.20 | See FINRA Report |
| Aaron Leonard Heimowitz | 241866 | 8 | 06/01/1973 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Kenneth Peter Krueger | 275918 | 5 | 05/01/1973 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Anthony Strainer | 437914 | 4 | 02/28/1973 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |