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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Martin Winter | 3259009 | 3 | 09/22/2008 | Customer Dispute | Withdrawn | $35,000.00 | $0.00 | See FINRA Report |
| Joseph Robert Rettig | 1090721 | 7 | 09/17/2008 | Customer Dispute | Withdrawn | $220,009.00 | $0.00 | See FINRA Report |
| John Randolph Obana | 2599373 | 3 | 09/15/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| David Alan Heiman | 1418827 | 2 | 09/11/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Arthur John Paterson | 3274496 | 1 | 09/08/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Mansoor Ahmed | 2990805 | 2 | 09/05/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Jason James Nardella | 2931678 | 2 | 09/04/2008 | Customer Dispute | Withdrawn | $38,000.00 | $0.00 | See FINRA Report |
| Jaime Fernandez | 1992823 | 1 | 09/03/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Francis Walter Freeman | 1140512 | 4 | 09/02/2008 | Customer Dispute | Withdrawn | $24,376.00 | $0.00 | See FINRA Report |
| Michael Alan Johnston | 2654000 | 3 | 08/22/2008 | Customer Dispute | Withdrawn | $491,630.00 | $0.00 | See FINRA Report |