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 |
|---|---|---|---|---|---|---|---|---|
| Francis Patrick Gemino | 219616 | 3 | 12/15/2008 | Customer Dispute | Pending | $17,000.00 | $0.00 | See FINRA Report |
| Mark Richard Swartz | 2311460 | 6 | 12/15/2008 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| David Fred Riley | 722382 | 2 | 12/08/2008 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
| Jerome Alan Goodrick | 1349954 | 1 | 12/04/2008 | Customer Dispute | Pending | $25,000,000.00 | $0.00 | See FINRA Report |
| Ann Averback | 1351174 | 1 | 12/04/2008 | Customer Dispute | Pending | $25,000,000.00 | $0.00 | See FINRA Report |
| Kathleen Cecelia Peer | 1201001 | 3 | 11/24/2008 | Customer Dispute | Pending | $1,300,000.00 | $0.00 | See FINRA Report |
| Robert Wolf | 1354247 | 1 | 11/14/2008 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Robin Patricia Lewandowski | 1306186 | 3 | 09/29/2008 | Customer Dispute | Pending | $30,621.00 | $0.00 | See FINRA Report |
| Donald C Fecel | 4265743 | 1 | 09/26/2008 | Customer Dispute | Pending | $12,622.00 | $0.00 | See FINRA Report |
| Roberto Hoornweg | 2092648 | 2 | 09/12/2008 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |