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 |
|---|---|---|---|---|---|---|---|---|
| Colleen Rhodd | 5230633 | 1 | 02/08/2012 | Customer Dispute | Dismissed | $36,036.40 | $0.00 | See FINRA Report |
| Anthony Daniel Delfre | 2194365 | 2 | 02/01/2012 | Customer Dispute | Dismissed | $750,000.00 | $0.00 | See FINRA Report |
| Alexander Garcia | 3004326 | 17 | 01/19/2012 | Customer Dispute | Dismissed | $495,000.00 | $0.00 | See FINRA Report |
| Matthew Stone | 4221737 | 1 | 12/20/2011 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| Helen A Wathen | 708100 | 2 | 09/26/2011 | Customer Dispute | Dismissed | $1,000,000.00 | $0.00 | See FINRA Report |
| Carl Anthony Forte | 1505285 | 3 | 09/26/2011 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| Patrick Andrew Gunther | 1573122 | 1 | 08/29/2011 | Customer Dispute | Dismissed | $293,000.00 | $0.00 | See FINRA Report |
| Timothy Francis Hickey | 2353760 | 1 | 08/09/2011 | Customer Dispute | Dismissed | $220,000.00 | $0.00 | See FINRA Report |
| William Rustin Seyle | 2142618 | 1 | 08/09/2011 | Customer Dispute | Dismissed | $220,000.00 | $0.00 | See FINRA Report |
| Judith Fay Hall | 2156082 | 2 | 04/20/2011 | Customer Dispute | Dismissed | $66,297.00 | $0.00 | See FINRA Report |