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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Gerald Roehrig | 2826376 | 5 | 05/09/2024 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Thomas M Dillon | 5487575 | 1 | 05/09/2024 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| Richard Wayne Gibson | 5352063 | 2 | 05/09/2024 | Customer Dispute | Settled | $25,758.30 | $0.00 | See FINRA Report |
| David Allen Shaw | 5042178 | 1 | 05/09/2024 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Ronald Cappuccio | 5530949 | 1 | 05/09/2024 | Customer Dispute | Pending | $2,700,000.00 | $0.00 | See FINRA Report |
| Julien Binford Booth | 2927147 | 1 | 05/09/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Gregory L Wilson | 6849983 | 1 | 05/09/2024 | Customer Dispute | Pending | $1,185,000.00 | $0.00 | See FINRA Report |
| Mark Stephen Landis | 2202797 | 3 | 05/08/2024 | Customer Dispute | Pending | $14,075.00 | $0.00 | See FINRA Report |
| David Gregory Oblock | 1440692 | 1 | 05/08/2024 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Paul Eugene Southard | 1291554 | 2 | 05/08/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |