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 |
|---|---|---|---|---|---|---|---|---|
| Paul B Rohr | 6249565 | 1 | 04/23/2024 | Customer Dispute | Pending | $12,000.00 | $0.00 | See FINRA Report |
| James Thornton Norris | 1054381 | 2 | 04/23/2024 | Customer Dispute | Pending | $222,320.00 | $0.00 | See FINRA Report |
| Sean Francis Mostero | 6447158 | 4 | 04/23/2024 | Customer Dispute | Pending | $350,000.00 | $0.00 | See FINRA Report |
| Robert Harry Stahler | 2820704 | 1 | 04/23/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Randall E Duggan | 5559097 | 4 | 04/23/2024 | Customer Dispute | Pending | $106,000.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 04/23/2024 | Customer Dispute | Settled | $565,254.00 | $0.00 | See FINRA Report |
| Ryan William Foster | 5414840 | 1 | 04/23/2024 | Customer Dispute | Pending | $240,000.00 | $0.00 | See FINRA Report |
| William Edward Bredthauer | 2266233 | 4 | 04/23/2024 | Customer Dispute | Withdrawn | $354,800.00 | $0.00 | See FINRA Report |
| Richard Dennis Laspaluto | 2541603 | 6 | 04/23/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Daniel Loys Roebuck | 1271133 | 1 | 04/23/2024 | Customer Dispute | Pending | $1,800,000.00 | $0.00 | See FINRA Report |