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 |
|---|---|---|---|---|---|---|---|---|
| Mark Lyle Perilman | 2341637 | 1 | 04/09/2012 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| Theodore Robert Taddei | 2013864 | 3 | 03/26/2012 | Customer Dispute | Dismissed | $1,000,000.00 | $0.00 | See FINRA Report |
| Theodore Robert Taddei | 2013864 | 3 | 03/07/2012 | Customer Dispute | Dismissed | $100,000.00 | $0.00 | See FINRA Report |
| Lisa McCoy | 2745760 | 1 | 03/07/2012 | Customer Dispute | Dismissed | $100,000.00 | $0.00 | See FINRA Report |
| John Jackson Hughes | 2648376 | 3 | 03/01/2012 | Customer Dispute | Dismissed | $71,211.00 | $0.00 | See FINRA Report |
| Hipolito Claudio Rosario | 4295062 | 3 | 02/29/2012 | Customer Dispute | Dismissed | $370,000.00 | $0.00 | See FINRA Report |
| Kevin Alan Shields | 1574106 | 1 | 02/26/2012 | Customer Dispute | Dismissed | $6,826,550.00 | $0.00 | See FINRA Report |
| John T Howard | 4351289 | 1 | 02/14/2012 | Customer Dispute | Dismissed | $478,277.00 | $0.00 | See FINRA Report |
| James N Howard | 4362521 | 2 | 02/14/2012 | Customer Dispute | Dismissed | $478,277.00 | $0.00 | See FINRA Report |
| Theresa Marie Stuteville | 4362529 | 2 | 02/14/2012 | Customer Dispute | Dismissed | $478,277.00 | $0.00 | See FINRA Report |