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 |
|---|---|---|---|---|---|---|---|---|
| Philip Collins Finn | 801717 | 2 | 02/04/1999 | Customer Dispute | Denied | $7,837.50 | $0.00 | See FINRA Report |
| Maximilien Freelander | 2110045 | 6 | 02/03/1999 | Customer Dispute | Denied | $343,726.00 | $0.00 | See FINRA Report |
| Terry Lee Phillips | 1108948 | 3 | 02/03/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Louis Tesoriero | 2560863 | 2 | 02/03/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Gregory Mennona | 1232328 | 5 | 02/03/1999 | Customer Dispute | Denied | $98,979.00 | $0.00 | See FINRA Report |
| David Michael Rogers | 1133693 | 1 | 02/03/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Michael Winner | 1520060 | 2 | 02/02/1999 | Customer Dispute | Denied | $121,000.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Sprague | 2184128 | 2 | 02/02/1999 | Customer Dispute | Denied | $282,000.00 | $0.00 | See FINRA Report |
| Gerald Bruce Nearier | 708959 | 2 | 02/02/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eric Beiley | 2650274 | 4 | 02/01/1999 | Customer Dispute | Denied | $30,312.00 | $0.00 | See FINRA Report |