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 |
|---|---|---|---|---|---|---|---|---|
| James Michael Goodwin | 2085809 | 6 | 05/18/1999 | Customer Dispute | Denied | $23,000.00 | $0.00 | See FINRA Report |
| Thomas William Rendl | 1942734 | 4 | 05/17/1999 | Customer Dispute | Denied | $20,505.00 | $0.00 | See FINRA Report |
| Robert Nelson Lumley | 2404541 | 2 | 05/17/1999 | Customer Dispute | Denied | $350,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Iannarino | 1258453 | 7 | 05/17/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michel Ross Girardi | 1101575 | 7 | 05/14/1999 | Customer Dispute | Denied | $8,800.00 | $0.00 | See FINRA Report |
| Norris Gates Cotton | 2318839 | 1 | 05/13/1999 | Customer Dispute | Denied | $11,406.10 | $0.00 | See FINRA Report |
| Leslie Thomas Matthey | 323202 | 1 | 05/12/1999 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Enrico Caiazzo | 1228870 | 11 | 05/11/1999 | Customer Dispute | Denied | $6,375.14 | $0.00 | See FINRA Report |
| Bradley Goodchild | 2218120 | 2 | 05/11/1999 | Customer Dispute | Denied | $9,584.47 | $0.00 | See FINRA Report |
| Thomas Michael Crabtree | 1785909 | 1 | 05/11/1999 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |