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 |
|---|---|---|---|---|---|---|---|---|
| Bruce Farrell Rosen | 1107695 | 3 | 04/28/1999 | Customer Dispute | Denied | $29,300.00 | $0.00 | See FINRA Report |
| Thomas Jeffrey Ware | 1970973 | 1 | 04/27/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Charles Maiers | 2700453 | 1 | 04/27/1999 | Customer Dispute | Denied | $277,276.00 | $0.00 | See FINRA Report |
| John Parker Amick | 1161918 | 1 | 04/27/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason Maximillian Baker | 2571121 | 4 | 04/27/1999 | Customer Dispute | Denied | $64,986.20 | $0.00 | See FINRA Report |
| Roger Thomas Spann | 2211632 | 12 | 04/27/1999 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Lynn S Shecter | 710967 | 1 | 04/26/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ernest Mark Caponegro | 1025695 | 4 | 04/26/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Maryjane Sherry | 2434851 | 1 | 04/26/1999 | Customer Dispute | Denied | $8,667.00 | $0.00 | See FINRA Report |
| Nancy P Gates | 1231989 | 4 | 04/23/1999 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |