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 |
|---|---|---|---|---|---|---|---|---|
| Matthew L McDaniel | 2646833 | 1 | 02/25/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Douglas Bruce Shaw | 1032211 | 14 | 02/20/2009 | Customer Dispute | Pending | $2,007,910.00 | $0.00 | See FINRA Report |
| Darrin Michael Bradley | 2398784 | 4 | 02/04/2009 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Kathleen Cecelia Peer | 1201001 | 3 | 01/30/2009 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Steven Michael Senior | 1253062 | 4 | 01/29/2009 | Customer Dispute | Pending | $17,200,000.00 | $0.00 | See FINRA Report |
| Alan Braga | 2936831 | 2 | 01/29/2009 | Customer Dispute | Pending | $294,119.00 | $0.00 | See FINRA Report |
| Richard David Allen | 1292788 | 3 | 01/15/2009 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Douglas Michael Glaza | 2303512 | 1 | 01/14/2009 | Customer Dispute | Pending | $1,400,000.00 | $0.00 | See FINRA Report |
| Andrew S Florin Smith | 2266855 | 2 | 01/08/2009 | Customer Dispute | Pending | $1,000,000,000.00 | $0.00 | See FINRA Report |
| Richard Mercado | 1046808 | 1 | 12/23/2008 | Customer Dispute | Pending | $77,000.00 | $0.00 | See FINRA Report |