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 |
|---|---|---|---|---|---|---|---|---|
| David Frederick Edstrom | 1897622 | 5 | 07/27/1999 | Customer Dispute | Pending | $1,000.00 | $0.00 | See FINRA Report |
| Patricia Theresa Dilucido | 1281135 | 4 | 07/26/1999 | Customer Dispute | Pending | $20,000.00 | $0.00 | See FINRA Report |
| Earle McKissack Duffey | 845238 | 1 | 07/20/1999 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Wayne St John Hemans | 2333720 | 3 | 07/16/1999 | Customer Dispute | Pending | $70,000.00 | $0.00 | See FINRA Report |
| September Joy Sarno | 1014809 | 7 | 07/06/1999 | Customer Dispute | Pending | $2,000,000.00 | $0.00 | See FINRA Report |
| David Laurence Avidon | 2289770 | 4 | 07/06/1999 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Robert Stephen Ambrozy | 1736286 | 5 | 07/01/1999 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Adam Robert Ritzer | 1057194 | 9 | 06/30/1999 | Customer Dispute | Pending | $6,000.00 | $0.00 | See FINRA Report |
| Eric Jarvis Kronk | 2120009 | 1 | 06/29/1999 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jason Andrew Taub | 2100260 | 4 | 06/28/1999 | Customer Dispute | Pending | $5,013.79 | $0.00 | See FINRA Report |