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 |
|---|---|---|---|---|---|---|---|---|
| Mark William Kelch | 1191173 | 2 | 05/20/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David T Sippie | 2775149 | 3 | 05/20/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Francis Ward | 867111 | 2 | 05/19/1998 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Seth Abraham Shimansky | 2359404 | 1 | 05/19/1998 | Customer Dispute | Denied | $17,108.00 | $0.00 | See FINRA Report |
| William Jerry Nicholson | 1610760 | 3 | 05/19/1998 | Customer Dispute | Denied | $7,200.00 | $0.00 | See FINRA Report |
| Stephen Dennis Regan | 1290958 | 13 | 05/19/1998 | Customer Dispute | Denied | $5,672.00 | $0.00 | See FINRA Report |
| John Walter Higgins | 1416660 | 1 | 05/19/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gregory Alan Murphy | 1875783 | 3 | 05/18/1998 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| Darin Kaoru Inouye | 2316952 | 1 | 05/18/1998 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| William Peter Cohen | 721863 | 1 | 05/18/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |