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 Joseph Zory | 1975601 | 1 | 10/14/2002 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Paul Vincent Herzfeld | 1546642 | 11 | 10/11/2002 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Kenneth Supman | 1269899 | 3 | 10/11/2002 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Aaron Lawrence Steele | 2545726 | 4 | 10/08/2002 | Customer Dispute | Pending | $10,000.00 | $0.00 | See FINRA Report |
| Mary Allison Mullis | 852669 | 1 | 10/04/2002 | Customer Dispute | Pending | $700,000.00 | $0.00 | See FINRA Report |
| Grace Antares | 2473198 | 1 | 09/18/2002 | Customer Dispute | Pending | $12,030.00 | $0.00 | See FINRA Report |
| Douglas James Armstrong | 1639262 | 4 | 09/17/2002 | Customer Dispute | Pending | $6,000.00 | $0.00 | See FINRA Report |
| Douglas Middleton Bailey | 1278643 | 2 | 08/28/2002 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Glenn Allen Donnell | 2239397 | 4 | 08/14/2002 | Customer Dispute | Pending | $36,000.00 | $0.00 | See FINRA Report |
| Manuel Uranga | 3072791 | 1 | 08/08/2002 | Customer Dispute | Pending | $1,900,000.00 | $0.00 | See FINRA Report |