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 |
|---|---|---|---|---|---|---|---|---|
| Seymour Katz | 265126 | 2 | 11/17/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patrick Thomas McShea | 1676498 | 4 | 11/14/1997 | Customer Dispute | Denied | $12,579.00 | $0.00 | See FINRA Report |
| Mark Ashdown | 859907 | 4 | 11/13/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Chad Edward Allen | 2712784 | 1 | 11/13/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| George Bernard Alden | 1095259 | 2 | 11/12/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jonathan J Berube | 2004124 | 4 | 11/12/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Edward Dunlap | 1766756 | 1 | 11/12/1997 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Ethan Simeon Fingerer | 2295064 | 2 | 11/11/1997 | Customer Dispute | Denied | $92,940.00 | $0.00 | See FINRA Report |
| Philip Sargent Taylor | 1000487 | 2 | 11/11/1997 | Customer Dispute | Denied | $73,475.30 | $0.00 | See FINRA Report |
| Efthimios I Emmanouilidis | 1114782 | 15 | 11/11/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |