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 |
|---|---|---|---|---|---|---|---|---|
| Ahsan R Shaikh | 2306482 | 10 | 04/07/1998 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Michael Edward Leali | 861796 | 3 | 04/06/1998 | Customer Dispute | Denied | $24,613.00 | $0.00 | See FINRA Report |
| James Scott Tuffield | 1643332 | 3 | 04/06/1998 | Customer Dispute | Denied | $18,638.00 | $0.00 | See FINRA Report |
| Robert Avander Frazier | 2659475 | 2 | 04/06/1998 | Customer Dispute | Denied | $6,800.00 | $0.00 | See FINRA Report |
| Rex Dale Ennis | 2126567 | 4 | 04/06/1998 | Customer Dispute | Denied | $4,896.00 | $0.00 | See FINRA Report |
| Anthony Gerard Lorusso | 2505245 | 4 | 04/03/1998 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Ricardo Ramirez | 2143959 | 2 | 04/02/1998 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| James Brian Fraser | 1305931 | 1 | 04/02/1998 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| Jay Windsor Pickett | 2041509 | 4 | 04/02/1998 | Customer Dispute | Denied | $18,629.40 | $0.00 | See FINRA Report |
| Stephen Pavey Meskan | 2001506 | 10 | 04/02/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |