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 George Wilson | 1232089 | 3 | 10/31/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Julie Anne Dougherty | 1064884 | 1 | 10/31/1997 | Customer Dispute | Denied | $17,500.00 | $0.00 | See FINRA Report |
| Ruben C Fernandez | 1439847 | 21 | 10/30/1997 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Keith Alan Rothman | 1578154 | 2 | 10/29/1997 | Customer Dispute | Denied | $13,184.00 | $0.00 | See FINRA Report |
| Paul James Gigis | 1729005 | 1 | 10/29/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Donald Stephen Delahunt | 1972849 | 8 | 10/29/1997 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Mark Thomas Ratay | 1349470 | 1 | 10/28/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Timothy Allen Hill | 2317289 | 3 | 10/28/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Donald Malcolm Kerr | 1583146 | 4 | 10/27/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Michael Gilliland | 1220848 | 2 | 10/21/1997 | Customer Dispute | Denied | $12,500.00 | $0.00 | See FINRA Report |