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 |
|---|---|---|---|---|---|---|---|---|
| Steven Michael Senior | 1253062 | 4 | 05/27/2008 | Customer Dispute | Pending | $3,216,990.00 | $0.00 | See FINRA Report |
| Patrick Edward Morgan | 4160356 | 1 | 05/16/2008 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Alan Neil Lichtenstein | 1877017 | 2 | 05/09/2008 | Customer Dispute | Pending | $125,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Greiner | 1443680 | 3 | 04/24/2008 | Customer Dispute | Pending | $28,000.00 | $0.00 | See FINRA Report |
| Bruce Marshall Rose | 1095631 | 2 | 04/08/2008 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Lisa Anne Lighthipe-Hinz | 2460184 | 8 | 04/07/2008 | Customer Dispute | Pending | $33,809.70 | $0.00 | See FINRA Report |
| Paul Corkin Tanner | 1147061 | 4 | 03/31/2008 | Customer Dispute | Pending | $15,742.00 | $0.00 | See FINRA Report |
| Roy Maxwell Alvis, Jr | 1919595 | 1 | 03/31/2008 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Peter Douglas Field | 4391810 | 5 | 03/19/2008 | Customer Dispute | Pending | $8,540.00 | $0.00 | See FINRA Report |
| Julius Raju | 2149430 | 6 | 02/26/2008 | Customer Dispute | Pending | $1,225,000.00 | $0.00 | See FINRA Report |