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 |
|---|---|---|---|---|---|---|---|---|
| Gerald James Ohalloran | 1056697 | 15 | 09/28/1998 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| James Allen Malsom | 1158080 | 1 | 09/28/1998 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| William Edward Walsh | 1038935 | 3 | 09/21/1998 | Customer Dispute | Pending | $182,293.00 | $0.00 | See FINRA Report |
| Phyllis Lyn Quirk | 811259 | 1 | 09/10/1998 | Customer Dispute | Pending | $8,428.25 | $0.00 | See FINRA Report |
| Randall Howard Perry | 1738057 | 1 | 09/04/1998 | Customer Dispute | Pending | $0.00 | $400,000.00 | See FINRA Report |
| James Mooney Miller | 2367230 | 1 | 08/28/1998 | Customer Dispute | Pending | $28,856.00 | $0.00 | See FINRA Report |
| Harold John Lesage | 601321 | 1 | 08/28/1998 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Raymond Warren Shaffer | 1631064 | 3 | 08/24/1998 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| John Anthony Casconi | 1628447 | 5 | 08/24/1998 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Larry Thomas Sterne | 846062 | 1 | 08/19/1998 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |