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 |
|---|---|---|---|---|---|---|---|---|
| Stephen David Putinski | 2925712 | 2 | 03/12/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Bastiano Scarpaci | 1634140 | 2 | 03/11/1999 | Customer Dispute | Denied | $235,000.00 | $0.00 | See FINRA Report |
| Timothy Michael Moynihan | 1904606 | 2 | 03/10/1999 | Customer Dispute | Denied | $9,039.11 | $0.00 | See FINRA Report |
| Peter Andrew Weiss | 1915252 | 3 | 03/10/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Warren Samuel Wernick | 1684550 | 2 | 03/10/1999 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| J Thomas Smith | 427994 | 5 | 03/09/1999 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Rose Barbara Yuster | 1492522 | 11 | 03/09/1999 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Jerome Grossman | 230995 | 1 | 03/09/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mary Ann Harper | 1338220 | 3 | 03/09/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sylvia Guerra | 2192165 | 1 | 03/09/1999 | Customer Dispute | Denied | $6,827.00 | $0.00 | See FINRA Report |