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 |
|---|---|---|---|---|---|---|---|---|
| Leonard David Shapiro | 1177530 | 5 | 07/14/1998 | Customer Dispute | Denied | $135,000.00 | $0.00 | See FINRA Report |
| Gregory William Menges | 2419700 | 1 | 07/13/1998 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| William Fraley III | 212494 | 2 | 07/13/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Joseph La Placa | 2419782 | 1 | 07/10/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Marshall Maximilian Grant | 2138912 | 2 | 07/09/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Linda Kaye McAulay | 1304175 | 2 | 07/08/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert John O'Connor | 1739612 | 3 | 07/08/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Martin Leo Truax | 449720 | 1 | 07/07/1998 | Customer Dispute | Denied | $29,721.50 | $0.00 | See FINRA Report |
| Marvin Dean Gilliland | 221887 | 2 | 07/07/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Annette G Musa | 1076657 | 1 | 07/06/1998 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |