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 |
|---|---|---|---|---|---|---|---|---|
| Alan Glenn Kyle | 866427 | 1 | 04/30/1985 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Joseph Marvin Friedman | 1289532 | 1 | 04/01/1985 | Customer Dispute | Pending | $75,000.00 | $0.00 | See FINRA Report |
| Philip Francis Decarlo | 63546 | 3 | 11/20/1984 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Charles Wayne Shaeffer | 419498 | 7 | 06/08/1984 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Charles Wayne Shaeffer | 419498 | 7 | 12/07/1983 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Allan Sanford Gordon | 225635 | 4 | 06/05/1981 | Customer Dispute | Pending | $10,798,800.00 | $0.00 | See FINRA Report |
| Richard Allen Lefauve | 838303 | 2 | 06/01/1979 | Customer Dispute | Pending | $108,750.00 | $0.00 | See FINRA Report |
| Joanne Cochran Pheil-Hawkins | 1073784 | 3 | 11/30/-0001 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Richard Alan Stone | 437398 | 1 | 11/30/-0001 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |