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 |
|---|---|---|---|---|---|---|---|---|
| Simon John Wheeldon | 2314676 | 2 | 06/02/1999 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Reynold Frank Vaughan | 1025788 | 17 | 06/02/1999 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Jody P Sacks | 1175493 | 1 | 06/01/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| James Pezzino | 1856691 | 1 | 05/30/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark John Jakubovie | 735372 | 5 | 05/28/1999 | Customer Dispute | Denied | $36,249.00 | $0.00 | See FINRA Report |
| Mark Bryan Broderick | 2084031 | 3 | 05/28/1999 | Customer Dispute | Denied | $44,275.00 | $0.00 | See FINRA Report |
| J B Degroft | 2251972 | 3 | 05/28/1999 | Customer Dispute | Denied | $44,725.00 | $0.00 | See FINRA Report |
| Maximilien Freelander | 2110045 | 6 | 05/27/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles Allen Evans | 733216 | 5 | 05/27/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| J T Cowles | 2226953 | 1 | 05/27/1999 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |