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 Baxter Martin | 321626 | 1 | 09/28/1983 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Joseph Ira Yanofsky | 870054 | 10 | 09/27/1983 | Customer Dispute | Settled | $126,326.00 | $0.00 | See FINRA Report |
| James Daniel Novak | 1385772 | 4 | 09/01/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ellis Eugene Grossnickle | 1283246 | 3 | 09/01/1983 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Edward Fredrick Hernandez | 865532 | 1 | 08/26/1983 | Customer Dispute | Settled | $23,852.00 | $0.00 | See FINRA Report |
| Michael Ivan Flynn | 869817 | 5 | 08/25/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Francis Duffy | 72810 | 5 | 08/12/1983 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 08/04/1983 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Robert Howard Hutchins | 254047 | 5 | 08/01/1983 | Customer Dispute | Settled | $197,813.00 | $0.00 | See FINRA Report |
| John Marshall Mabee | 806198 | 4 | 08/01/1983 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |