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 |
|---|---|---|---|---|---|---|---|---|
| Richard John Williams | 468173 | 3 | 08/01/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 08/01/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| August Walter Muller | 342438 | 4 | 07/01/1983 | Customer Dispute | Settled | $22,000.00 | $0.00 | See FINRA Report |
| James Daniel Novak | 1385772 | 4 | 07/01/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David B Christofferson | 1023789 | 1 | 06/30/1983 | Customer Dispute | Settled | $25,000,000.00 | $0.00 | See FINRA Report |
| Robert Giarraffa | 870958 | 1 | 06/29/1983 | Customer Dispute | Settled | $273,400.00 | $0.00 | See FINRA Report |
| Robert David Child | 500359 | 13 | 06/18/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Paul Forfia | 211215 | 3 | 06/15/1983 | Customer Dispute | Settled | $19,500.00 | $0.00 | See FINRA Report |
| Michael McCabe | 828834 | 2 | 06/13/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael McCabe | 828834 | 2 | 06/13/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |