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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Henry Dietz | 2750766 | 2 | 05/03/1999 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| Frederick Downes Iselin | 871146 | 2 | 05/03/1999 | Customer Dispute | Denied | $8,134.95 | $0.00 | See FINRA Report |
| Jack Roger Kaye | 2441412 | 3 | 05/03/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Amy Louise Moore | 1137141 | 1 | 05/01/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Philip Michael Caso | 1184083 | 4 | 04/30/1999 | Customer Dispute | Denied | $632,471.00 | $0.00 | See FINRA Report |
| Ike Hoashi | 851541 | 2 | 04/30/1999 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Jeffrey Allen Gustafik | 1200489 | 1 | 04/30/1999 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| Jeanne A Schneiderman | 1607399 | 1 | 04/29/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Scott Housel | 2573133 | 3 | 04/28/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Michael Stratton | 1841545 | 1 | 04/28/1999 | Customer Dispute | Denied | $280,000.00 | $0.00 | See FINRA Report |