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 |
|---|---|---|---|---|---|---|---|---|
| Michael W Lawrence | 4225910 | 2 | 07/10/2024 | Customer Dispute | Denied | $350,000.00 | $0.00 | See FINRA Report |
| Mary M Mc Dougall | 1033553 | 4 | 07/10/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mary M Mc Dougall | 1033553 | 4 | 07/10/2024 | Customer Dispute | Denied | $350,000.00 | $0.00 | See FINRA Report |
| Eugene Cebron Thompson | 4350479 | 7 | 07/10/2024 | Customer Dispute | Pending | $224,000.00 | $0.00 | See FINRA Report |
| Neil Greenspan | 4720344 | 1 | 07/10/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Neil Trotta | 449594 | 6 | 07/10/2024 | Customer Dispute | Pending | $150,000.00 | $0.00 | See FINRA Report |
| Nancy Parrett | 5459016 | 1 | 07/10/2024 | Customer Dispute | Settled | $11,949.00 | $0.00 | See FINRA Report |
| Reginald A Rasmussen | 3078635 | 4 | 07/10/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Yuri M Grinboym | 3204278 | 1 | 07/10/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Jeffrey Grueninger | 3031348 | 1 | 07/10/2024 | Customer Dispute | Pending | $1,885,550.00 | $0.00 | See FINRA Report |