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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Michael Roycroft | 2181465 | 2 | 05/24/1999 | Customer Dispute | Pending | $18,952.00 | $0.00 | See FINRA Report |
| September Joy Sarno | 1014809 | 7 | 05/13/1999 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Lupia | 1379970 | 3 | 05/05/1999 | Customer Dispute | Pending | $19,076.50 | $0.00 | See FINRA Report |
| Peter Anthony Faggioni | 2266082 | 11 | 05/01/1999 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Michael Dykes Keller | 2204068 | 3 | 04/26/1999 | Customer Dispute | Pending | $10,000.00 | $0.00 | See FINRA Report |
| Robert John Teik | 1777669 | 1 | 04/23/1999 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Lawrence Alfred King | 269990 | 1 | 04/19/1999 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Alfred Gary Kovacs | 1338713 | 5 | 04/13/1999 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Richard Ernest Dichiaro | 67219 | 2 | 04/06/1999 | Customer Dispute | Pending | $12,187.50 | $0.00 | See FINRA Report |
| Michael Dykes Keller | 2204068 | 3 | 03/29/1999 | Customer Dispute | Pending | $10,000.00 | $0.00 | See FINRA Report |