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 |
|---|---|---|---|---|---|---|---|---|
| Tamara Lynn Shumate Brown | 1472004 | 1 | 07/31/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Karen Elizabeth Stawicki | 1003854 | 2 | 07/31/2009 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Christopher Jason Waleri | 2313271 | 2 | 07/31/2009 | Customer Dispute | Withdrawn | $121,081.00 | $0.00 | See FINRA Report |
| William Morris Lellyett | 865131 | 8 | 07/30/2009 | Customer Dispute | Withdrawn | $2,250,000.00 | $0.00 | See FINRA Report |
| Dewey Dane Hunnicutt | 1697318 | 2 | 07/28/2009 | Customer Dispute | Withdrawn | $36,715.00 | $0.00 | See FINRA Report |
| Jerome Marks Dattel | 61216 | 2 | 07/27/2009 | Customer Dispute | Withdrawn | $35,402.00 | $0.00 | See FINRA Report |
| Vinh Xuan Nguyen | 2944729 | 2 | 07/21/2009 | Customer Dispute | Withdrawn | $21,250.00 | $0.00 | See FINRA Report |
| Benjamin Henry Nahum | 1286821 | 1 | 07/14/2009 | Customer Dispute | Withdrawn | $65,327.00 | $0.00 | See FINRA Report |
| William Charles Warner | 459232 | 4 | 07/13/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| John Oscar Fogarty | 2245102 | 2 | 07/13/2009 | Customer Dispute | Withdrawn | $5,200,000.00 | $0.00 | See FINRA Report |