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 Jay Rich | 851391 | 2 | 03/15/1984 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Gary Mark Goldberg | 223919 | 31 | 03/05/1984 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Charles Henry Royer | 2575317 | 2 | 03/01/1984 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Roland W Killcreas | 1045796 | 4 | 02/22/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Wallace Woods | 734272 | 42 | 02/21/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Jude Wincek | 870324 | 3 | 02/21/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Wallace Woods | 734272 | 42 | 02/03/1984 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Harvey Stuart Berk | 705380 | 2 | 02/01/1984 | Customer Dispute | Settled | $73,122.00 | $0.00 | See FINRA Report |
| Richard Douglas Heider | 1098980 | 2 | 02/01/1984 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Roland W Killcreas | 1045796 | 4 | 01/30/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |