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 |
|---|---|---|---|---|---|---|---|---|
| Richard Stephen Pluta | 1232948 | 4 | 05/10/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Philip Sargent Taylor | 1000487 | 2 | 05/10/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Allen Phelps Lovejoy | 707199 | 3 | 05/10/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Alfredo Martinez | 2217699 | 1 | 05/10/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Colin Robert Bruce | 1744432 | 6 | 05/10/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| James Francis Flynn | 1776929 | 2 | 05/07/1999 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Michael Terence Creadon | 1634566 | 1 | 05/07/1999 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Thomas John Santucci | 2692668 | 1 | 05/07/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Jay Fruchtman | 1015705 | 2 | 05/06/1999 | Customer Dispute | Denied | $13,076.00 | $0.00 | See FINRA Report |
| Bernard George Adair | 1535429 | 9 | 05/06/1999 | Customer Dispute | Denied | $31,785.00 | $0.00 | See FINRA Report |