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 |
|---|---|---|---|---|---|---|---|---|
| John Franklin Wilkins | 1160421 | 2 | 10/26/2009 | Customer Dispute | Pending | $25,000,000.00 | $0.00 | See FINRA Report |
| Dania Fitzgerald Tanguis | 1817705 | 1 | 10/16/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| James Keith Cox | 2365633 | 6 | 10/14/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Scott Goodwin Thomas | 1512697 | 3 | 10/13/2009 | Customer Dispute | Pending | $957,078.00 | $0.00 | See FINRA Report |
| Carol Deborah Watson McCann | 1256397 | 1 | 09/19/2009 | Customer Dispute | Pending | $400,000.00 | $0.00 | See FINRA Report |
| Antonio Carmelo Dipietro | 2023589 | 1 | 09/19/2009 | Customer Dispute | Pending | $25,000,000.00 | $0.00 | See FINRA Report |
| Michael Wayne Word | 2335732 | 3 | 09/17/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Wayne Word | 2335732 | 3 | 09/17/2009 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| Daniel John Prendergast | 1896020 | 1 | 09/16/2009 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| William Ray Howell | 1677698 | 2 | 09/14/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |