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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Andrew Seroczynski | 2671401 | 1 | 02/01/2011 | Customer Dispute | Dismissed | $90,700.00 | $0.00 | See FINRA Report |
| Gregory Alan Scott | 4539293 | 4 | 12/07/2010 | Customer Dispute | Dismissed | $500,000.00 | $0.00 | See FINRA Report |
| David Mark Mullen | 1327419 | 6 | 08/02/2010 | Customer Dispute | Dismissed | $109,128.00 | $0.00 | See FINRA Report |
| Alexander Sotir Joseph | 1092307 | 4 | 08/02/2010 | Customer Dispute | Dismissed | $109,128.00 | $0.00 | See FINRA Report |
| Joseph Elbert Freeman | 4858526 | 6 | 05/17/2010 | Customer Dispute | Dismissed | $25,425.00 | $0.00 | See FINRA Report |
| Douglas Andrew Duvall | 4315958 | 1 | 04/15/2010 | Customer Dispute | Dismissed | $74,280.00 | $0.00 | See FINRA Report |
| Craig Edward Johnson | 813024 | 1 | 03/23/2010 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| Barron R Swanky | 1969050 | 3 | 03/11/2010 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| Jeb Curtis Bonner | 4226193 | 3 | 02/26/2010 | Customer Dispute | Dismissed | $557,784.00 | $0.00 | See FINRA Report |
| John Robert Havranek | 2299632 | 8 | 02/26/2010 | Customer Dispute | Dismissed | $557,784.00 | $0.00 | See FINRA Report |