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 |
|---|---|---|---|---|---|---|---|---|
| Neal Miller Woodard | 5461015 | 4 | 05/19/2014 | Customer Dispute | Pending | $2,500,000.00 | $0.00 | See FINRA Report |
| Mitchell Allan Foote | 2440243 | 4 | 05/12/2014 | Customer Dispute | Pending | $30,000.00 | $0.00 | See FINRA Report |
| Victor Lawrence Bull | 856368 | 6 | 05/06/2014 | Customer Dispute | Pending | $375,000.00 | $0.00 | See FINRA Report |
| Marie Therese Edde Retourne | 2462473 | 1 | 04/30/2014 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Douglas Joseph Guarino | 1771389 | 13 | 04/23/2014 | Customer Dispute | Pending | $205,952.00 | $0.00 | See FINRA Report |
| Martin William Pernoll | 2094844 | 4 | 04/19/2014 | Customer Dispute | Pending | $75,000.00 | $0.00 | See FINRA Report |
| Jeffrey Howell Burton | 4496330 | 1 | 04/17/2014 | Customer Dispute | Pending | $176,316.00 | $0.00 | See FINRA Report |
| John Savadjian | 1063345 | 5 | 04/10/2014 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Lee Wells | 1217410 | 17 | 04/01/2014 | Customer Dispute | Pending | $15,000.00 | $0.00 | See FINRA Report |
| Richard Angus Broadbent | 1566763 | 6 | 03/20/2014 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |