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 |
|---|---|---|---|---|---|---|---|---|
| Ellen Cleary | 849846 | 1 | 12/04/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Jordan Cunneff | 1101132 | 5 | 12/03/1997 | Customer Dispute | Denied | $16,619.00 | $0.00 | See FINRA Report |
| Thomas Joseph Reid | 1056488 | 1 | 12/03/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Darrell Alve McCroskey | 1056953 | 1 | 12/02/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Paul Charles Fragakis | 1559036 | 2 | 12/01/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kiok Kim | 2564604 | 4 | 12/01/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dan S Berg | 18934 | 2 | 12/01/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Paul Roberts | 2229636 | 3 | 12/01/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Yocavitch | 1192603 | 7 | 12/01/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gerald Richard Sharpe | 2109210 | 5 | 12/01/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |