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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Mark Poulton | 714535 | 1 | 11/09/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cindy Sue Gleason | 2097347 | 1 | 11/06/1998 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Donald MacAnn Abbott | 1741334 | 1 | 11/06/1998 | Customer Dispute | Denied | $12,600.00 | $0.00 | See FINRA Report |
| Carl Carmine Della Sala | 1329262 | 1 | 11/06/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Polonsky | 2242468 | 4 | 11/05/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gregory Myron Stevens | 2495168 | 1 | 11/05/1998 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| John Marshall Oswald | 2437173 | 3 | 11/04/1998 | Customer Dispute | Denied | $14,850.00 | $0.00 | See FINRA Report |
| Dennis Cooney | 2231554 | 2 | 11/03/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas J McIntyre | 328488 | 11 | 11/03/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dan Olen Wallen | 2578826 | 1 | 11/03/1998 | Customer Dispute | Denied | $11,500.00 | $0.00 | See FINRA Report |