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 |
|---|---|---|---|---|---|---|---|---|
| Tibor Klein | 2682862 | 4 | 09/19/2013 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| David Keith Miller | 728491 | 4 | 09/16/2013 | Customer Dispute | Pending | $245,000.00 | $0.00 | See FINRA Report |
| Brian J Howe | 4635919 | 1 | 09/09/2013 | Customer Dispute | Pending | $12,707.70 | $0.00 | See FINRA Report |
| Samuel Stanley Lindenberg | 1049681 | 3 | 08/30/2013 | Customer Dispute | Pending | $58,000.00 | $0.00 | See FINRA Report |
| Robert Allan McDonald | 1379922 | 1 | 08/30/2013 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert J Ference | 4563999 | 10 | 08/22/2013 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Mark Andrew Elkins | 4483316 | 3 | 08/20/2013 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Daniel Martin Kole | 2524722 | 3 | 07/31/2013 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Carver Alexander Dawkins | 1364174 | 1 | 07/31/2013 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Albert Joseph Marma | 2229204 | 1 | 07/25/2013 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |