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 |
|---|---|---|---|---|---|---|---|---|
| Craig Irwin Bloom | 1664043 | 2 | 10/27/2009 | Customer Dispute | Withdrawn | $1,000,000.00 | $0.00 | See FINRA Report |
| John Barry Jenkins | 1473998 | 4 | 10/23/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Harold Franklin Rossen | 405311 | 1 | 10/19/2009 | Customer Dispute | Withdrawn | $1,600,000.00 | $0.00 | See FINRA Report |
| Steven John Mobberley | 2021884 | 2 | 10/08/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Lisa Potts Bauer | 4589837 | 1 | 10/07/2009 | Customer Dispute | Withdrawn | $261,411.00 | $0.00 | See FINRA Report |
| Clay Emerson Hoffman | 4371162 | 19 | 10/07/2009 | Customer Dispute | Withdrawn | $272,345.00 | $0.00 | See FINRA Report |
| Melvyn Edward Wicks | 1026345 | 1 | 10/02/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Robert Rosenberg | 4832723 | 1 | 09/30/2009 | Customer Dispute | Withdrawn | $25,000.00 | $0.00 | See FINRA Report |
| Edward Martin Rosenberg | 1224716 | 9 | 09/30/2009 | Customer Dispute | Withdrawn | $25,000.00 | $0.00 | See FINRA Report |
| John Bryan Philpott | 4758501 | 7 | 09/29/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |