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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Grant | 4490611 | 1 | 05/23/2024 | Customer Dispute | Settled | $27,745.90 | $0.00 | See FINRA Report |
| Eric Anthony Dupre | 2174456 | 3 | 05/23/2024 | Customer Dispute | Pending | $4,059,410.00 | $0.00 | See FINRA Report |
| T S Thompson | 2588490 | 20 | 05/23/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Joshua Maldonado | 7159503 | 1 | 05/23/2024 | Customer Dispute | Denied | $13,968.00 | $0.00 | See FINRA Report |
| Gaylord Wesley Rohloff | 1542216 | 10 | 05/23/2024 | Customer Dispute | Settled | $9,000.00 | $0.00 | See FINRA Report |
| Gregory Hugh Cousins | 2150397 | 2 | 05/23/2024 | Customer Dispute | Denied | $231,414.00 | $0.00 | See FINRA Report |
| Karen R Noonan | 5972464 | 1 | 05/23/2024 | Customer Dispute | Pending | $6,089.00 | $0.00 | See FINRA Report |
| James Thaddeus Walesa | 1061209 | 15 | 05/23/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Jill Linda Goldman | 2182076 | 2 | 05/23/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Thomas Bodnar Lundgaard | 2820129 | 2 | 05/22/2024 | Customer Dispute | Settled | $275,000.00 | $0.00 | See FINRA Report |