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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Francis Durso | 861907 | 2 | 05/01/1983 | Customer Dispute | Settled | $13,298.00 | $0.00 | See FINRA Report |
| Neal Scott | 1038348 | 17 | 05/01/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Ward Francis | 212608 | 2 | 04/28/1983 | Customer Dispute | Settled | $196,289.00 | $0.00 | See FINRA Report |
| Thomas W Alison | 3005 | 35 | 04/27/1983 | Customer Dispute | Settled | $223,000.00 | $0.00 | See FINRA Report |
| Thomas W Alison | 3005 | 35 | 04/27/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Stafford | 433163 | 9 | 04/15/1983 | Customer Dispute | Settled | $2,080,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Stafford | 433163 | 9 | 04/15/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lora Lucas Gunn | 717924 | 1 | 04/01/1983 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Glenn Harvey Fischer | 1042069 | 2 | 04/01/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Frampton Lee Johnston | 722794 | 1 | 03/22/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |