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 |
|---|---|---|---|---|---|---|---|---|
| Steven Leslie Baru | 1722032 | 6 | 11/30/-0001 | Customer Dispute | Settled | $140,585.00 | $0.00 | See FINRA Report |
| Eddie Shu Fung | 2622816 | 3 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Michael Finnegan | 819247 | 2 | 11/30/-0001 | Customer Dispute | Settled | $240,000.00 | $0.00 | See FINRA Report |
| Patrick Joseph Maas | 1032136 | 1 | 11/30/-0001 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |
| Joseph George Thomas | 445260 | 9 | 11/30/-0001 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Donald Charles Zepp | 476327 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $3,800,000.00 | $1,492,300.00 | See FINRA Report |
| Jack Winfield Graves | 1349955 | 12 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Barry Michael Vener | 865839 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $8,658.00 | $3,000.00 | See FINRA Report |
| Robert E Barnard | 1101523 | 7 | 11/30/-0001 | Customer Dispute | Settled | $37,000.00 | $0.00 | See FINRA Report |
| Edward David Aboudi | 378 | 2 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $32,872.00 | See FINRA Report |