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 |
|---|---|---|---|---|---|---|---|---|
| William Thomas Sena | 4103387 | 1 | 12/21/2009 | Customer Dispute | Pending | $25,000.00 | $0.00 | See FINRA Report |
| William Thomas Sena | 4674416 | 1 | 12/21/2009 | Customer Dispute | Pending | $25,000.00 | $0.00 | See FINRA Report |
| Lawrence Michael Labine | 1279935 | 44 | 11/24/2009 | Customer Dispute | Pending | $660,000.00 | $0.00 | See FINRA Report |
| Larry Joseph Steele | 1284628 | 1 | 11/23/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| William George Hart | 2063060 | 9 | 11/16/2009 | Customer Dispute | Pending | $1,900,000.00 | $0.00 | See FINRA Report |
| Thomas Carney Tate | 2841447 | 2 | 11/05/2009 | Customer Dispute | Pending | $280,000.00 | $0.00 | See FINRA Report |
| Thomas Carney Tate | 2841447 | 2 | 11/05/2009 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Ralph Steven Ruckart | 725945 | 3 | 11/02/2009 | Customer Dispute | Pending | $46,000.00 | $0.00 | See FINRA Report |
| Douglas Bruce Shaw | 1032211 | 14 | 10/26/2009 | Customer Dispute | Pending | $406,663.00 | $0.00 | See FINRA Report |
| Douglas Bruce Shaw | 1032211 | 14 | 10/26/2009 | Customer Dispute | Pending | $1,158,650.00 | $0.00 | See FINRA Report |