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 |
|---|---|---|---|---|---|---|---|---|
| Philip Pluta | 1491211 | 8 | 01/15/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher J Cowans | 1684420 | 8 | 01/13/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher J Cowans | 1684420 | 8 | 01/13/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gary Lee Harden | 236731 | 1 | 01/13/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth R Kawamoto | 1526712 | 2 | 01/13/1998 | Customer Dispute | Denied | $80,350.00 | $0.00 | See FINRA Report |
| Steven Paul Nassau | 703719 | 3 | 01/12/1998 | Customer Dispute | Denied | $20,615.00 | $0.00 | See FINRA Report |
| James Lloyd Hart | 1160715 | 1 | 01/09/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Renee Michelle Fourcade | 1021348 | 2 | 01/08/1998 | Customer Dispute | Denied | $23,000.00 | $0.00 | See FINRA Report |
| Phillip Robert Cheney | 2496092 | 7 | 01/08/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Richard Bennett | 821115 | 7 | 01/08/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |