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 |
|---|---|---|---|---|---|---|---|---|
| Garland Sean James | 2308721 | 27 | 02/19/1999 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Joseph Anthony Vieira | 1410092 | 7 | 02/18/1999 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| John E Dawson | 2542618 | 1 | 02/17/1999 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Craig Howard Frank | 1735281 | 3 | 02/17/1999 | Customer Dispute | Denied | $27,048.00 | $0.00 | See FINRA Report |
| Joel Sanford Singer | 1249076 | 1 | 02/17/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Waicheuk Johnny Chan | 2028479 | 1 | 02/17/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Anthony Dileonardo | 2009596 | 5 | 02/17/1999 | Customer Dispute | Denied | $13,600.00 | $0.00 | See FINRA Report |
| Linda Anne Wenker | 1264847 | 4 | 02/17/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joyce Barbara Docktor | 1324234 | 3 | 02/17/1999 | Customer Dispute | Denied | $20,336.50 | $0.00 | See FINRA Report |
| Lawrence Vincent Oconnor | 813950 | 7 | 02/16/1999 | Customer Dispute | Denied | $8,423.00 | $0.00 | See FINRA Report |