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 |
|---|---|---|---|---|---|---|---|---|
| Jacqueline Maupin Clay | 2593592 | 1 | 11/21/2011 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Ranjit Mangha Kripalani | 1474932 | 7 | 11/09/2011 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| David John Lomedico | 1531676 | 15 | 11/07/2011 | Customer Dispute | Pending | $25,000.00 | $0.00 | See FINRA Report |
| Fredrick Donn Williamson | 2328510 | 2 | 11/02/2011 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| Dave Myron McCoy | 1386650 | 6 | 10/14/2011 | Customer Dispute | Pending | $460,000.00 | $0.00 | See FINRA Report |
| Allen James Klein | 2152913 | 1 | 10/13/2011 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Alejandro Gonzalo Lara | 6152964 | 6 | 10/07/2011 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Gregory Scott Paul | 1300697 | 10 | 10/07/2011 | Customer Dispute | Pending | $2,563,000.00 | $0.00 | See FINRA Report |
| James Emory Poe | 5085362 | 5 | 10/05/2011 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Bruce Jude Guarino | 1096719 | 11 | 09/26/2011 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |