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 |
|---|---|---|---|---|---|---|---|---|
| William Davis Chapin | 44641 | 2 | 10/05/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas W Alison | 3005 | 35 | 10/04/1985 | Customer Dispute | Settled | $123,387.00 | $0.00 | See FINRA Report |
| Marc Christopher Tesio | 1240543 | 8 | 10/03/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy R Cass | 705999 | 1 | 09/30/1985 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Mark Albert Leibovit | 704956 | 2 | 09/30/1985 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Thomas Charles Theodore | 1023447 | 2 | 09/24/1985 | Customer Dispute | Settled | $46,250.00 | $0.00 | See FINRA Report |
| Gary Mark Goldberg | 223919 | 31 | 09/11/1985 | Customer Dispute | Settled | $37,000.00 | $0.00 | See FINRA Report |
| Robert Juan Escobio | 703813 | 11 | 09/01/1985 | Customer Dispute | Settled | $7,203.00 | $0.00 | See FINRA Report |
| Robert Juan Escobio | 703813 | 11 | 09/01/1985 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| Jack Erwin Fuqua | 215885 | 5 | 09/01/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |