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 |
|---|---|---|---|---|---|---|---|---|
| Richard John Watkins | 1240597 | 2 | 05/07/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Dean Allen | 1939597 | 1 | 05/05/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Bernard Coyne | 730361 | 2 | 05/05/1998 | Customer Dispute | Denied | $19,441.50 | $0.00 | See FINRA Report |
| Anthony Patrick Brookfield | 2207841 | 4 | 05/05/1998 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| Sean Richardson York | 1474799 | 1 | 05/04/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Walter Pendergast | 1388526 | 1 | 05/04/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Samuel Karrant | 1729499 | 1 | 05/01/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Michael Dougherty | 1009839 | 3 | 05/01/1998 | Customer Dispute | Denied | $7,979.83 | $0.00 | See FINRA Report |
| Norman Charles Schaffer | 1366975 | 1 | 04/30/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Gerard Gundrum | 1819476 | 7 | 04/30/1998 | Customer Dispute | Denied | $3,200.00 | $0.00 | See FINRA Report |