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 |
|---|---|---|---|---|---|---|---|---|
| John Lanham Ferris | 206848 | 7 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dale Richard Alexander | 2717 | 4 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel William Carnevale | 41099 | 4 | 11/30/-0001 | Customer Dispute | Award / Judgment | $250,000.00 | $93,000.00 | See FINRA Report |
| Wallace Edward Cook | 1348350 | 2 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dennis Carl Lambert | 710139 | 1 | 11/30/-0001 | Customer Dispute | Settled | $17,500.00 | $0.00 | See FINRA Report |
| Maryann A McNulty | 858949 | 2 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Xavier Magnesio | 1236188 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $3,105.13 | $3,105.13 | See FINRA Report |
| Robert H Gorman | 226107 | 3 | 11/30/-0001 | Customer Dispute | Settled | $31,000.00 | $0.00 | See FINRA Report |
| Jay Thomas Stainsby | 716959 | 4 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $12,000.00 | See FINRA Report |
| Jay Thomas Stainsby | 716959 | 4 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $15,000.00 | See FINRA Report |