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FINRA Broker Disclosures

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.

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Displaying 40,711-40,720 out of 40,739 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Wayne Stillman Francis Ross2070569108/28/1997Customer DisputeDenied$5,794.00$0.00See FINRA Report
Michael Andrew Thomas2186146108/27/1997Customer DisputeDenied$0.00$0.00See FINRA Report
John James Petracco10669181308/27/1997Customer DisputeDenied$0.00$0.00See FINRA Report
John Robert Cook1894803308/26/1997Customer DisputeDenied$0.00$0.00See FINRA Report
Howard I Katz1025634208/26/1997Customer DisputeDenied$0.00$0.00See FINRA Report
Stephen John Wood1386634208/26/1997Customer DisputeDenied$0.00$0.00See FINRA Report
Joshua Daniel Brown2304799208/24/1997Customer DisputeDenied$0.00$0.00See FINRA Report
David Earl Nash1385720308/22/1997Customer DisputeDenied$0.00$0.00See FINRA Report
Paul Charles Fragakis1559036208/22/1997Customer DisputeDenied$0.00$0.00See FINRA Report
Thomas Joseph O'Reilly2407621108/22/1997Customer DisputeDenied$7,989.00$0.00See FINRA Report

40,739 Results

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