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 |
|---|---|---|---|---|---|---|---|---|
| Claire J Raia | 2239947 | 1 | 03/31/2010 | Customer Dispute | Pending | $213,000.00 | $0.00 | See FINRA Report |
| Christopher Paul Wynne | 4055280 | 4 | 03/26/2010 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| Peter William Shea | 420778 | 5 | 03/25/2010 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| James Michael Obrien | 1257015 | 1 | 03/19/2010 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Steven Michael Senior | 1253062 | 4 | 03/15/2010 | Customer Dispute | Pending | $2,900,000.00 | $0.00 | See FINRA Report |
| Michael Anthony Hainsworth | 2628549 | 11 | 03/12/2010 | Customer Dispute | Pending | $35,660.00 | $0.00 | See FINRA Report |
| David Alexander Rourke | 2089364 | 6 | 03/09/2010 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
| Dana Evan Kellogg | 2496097 | 8 | 02/20/2010 | Customer Dispute | Pending | $17,200,000.00 | $0.00 | See FINRA Report |
| Dana Evan Kellogg | 2496097 | 8 | 02/18/2010 | Customer Dispute | Pending | $15,000,000.00 | $0.00 | See FINRA Report |
| Charles Lee Brickey | 2106502 | 7 | 02/17/2010 | Customer Dispute | Pending | $1,092,390.00 | $0.00 | See FINRA Report |