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 |
|---|---|---|---|---|---|---|---|---|
| Robert John La Sala | 710468 | 4 | 11/30/-0001 | Customer Dispute | Settled | $31,622.40 | $0.00 | See FINRA Report |
| William Jon Grombala | 1209225 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $725.00 | See FINRA Report |
| Harvey Darryl Baldinger | 11101 | 1 | 11/30/-0001 | Customer Dispute | Settled | $2,012,290.00 | $0.00 | See FINRA Report |
| Duncan Ray Campbell | 1002921 | 2 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Florencio Otto Busot | 37036 | 7 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Thomas Whalen | 821779 | 2 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $25,000.00 | See FINRA Report |
| William Gerald Glennon | 223059 | 1 | 11/30/-0001 | Customer Dispute | Settled | $169,191.00 | $0.00 | See FINRA Report |
| Thomas W Alison | 3005 | 35 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas W Alison | 3005 | 35 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas W Alison | 3005 | 35 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |