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 |
|---|---|---|---|---|---|---|---|---|
| Barry Louis Bozarth | 27990 | 1 | 11/10/2008 | Customer Dispute | Withdrawn | $27,210.00 | $0.00 | See FINRA Report |
| Mark Brant Bertoli | 1566759 | 2 | 11/04/2008 | Customer Dispute | Withdrawn | $7,833.20 | $0.00 | See FINRA Report |
| John Bryan Philpott | 4758501 | 7 | 11/01/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Mazhar Mahmood | 2876589 | 6 | 10/30/2008 | Customer Dispute | Withdrawn | $22,210.80 | $0.00 | See FINRA Report |
| Randy Allen Rathmann | 1387855 | 2 | 10/29/2008 | Customer Dispute | Withdrawn | $21,513.60 | $0.00 | See FINRA Report |
| Michael Christopher Payne | 1114780 | 3 | 10/27/2008 | Customer Dispute | Withdrawn | $24,000.00 | $0.00 | See FINRA Report |
| Donald Leo Haisman | 808859 | 1 | 10/27/2008 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Stephen Yen Ling Chow | 46135 | 10 | 10/24/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| James Richard Tuberosa | 1277676 | 18 | 10/24/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Mark Wayne Frazer | 4290103 | 1 | 10/23/2008 | Customer Dispute | Withdrawn | $11,298.80 | $0.00 | See FINRA Report |