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 |
|---|---|---|---|---|---|---|---|---|
| Sonia Maria Fernandez | 4130144 | 3 | 11/27/2007 | Customer Dispute | Withdrawn | $7,302.50 | $0.00 | See FINRA Report |
| Aaron Han-Kyeol Kim | 4870338 | 1 | 11/03/2007 | Customer Dispute | Withdrawn | $10,000.00 | $0.00 | See FINRA Report |
| Thomas Albert Pacilio | 2238271 | 4 | 11/01/2007 | Customer Dispute | Withdrawn | $15,000.00 | $0.00 | See FINRA Report |
| Thomas James Svenstrup | 1108026 | 2 | 10/15/2007 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Daniel Ryan Clark | 4518163 | 1 | 10/05/2007 | Customer Dispute | Withdrawn | $6,548.56 | $0.00 | See FINRA Report |
| Gary Elroy Barth | 2466996 | 5 | 10/01/2007 | Customer Dispute | Withdrawn | $19,231.00 | $0.00 | See FINRA Report |
| Gerald Joseph Desimone | 2311669 | 15 | 09/07/2007 | Customer Dispute | Withdrawn | $7,500.00 | $0.00 | See FINRA Report |
| Cary Dwight Rubman | 1443551 | 2 | 09/07/2007 | Customer Dispute | Withdrawn | $40,000.00 | $0.00 | See FINRA Report |
| Stephen Francis White | 1034497 | 12 | 09/04/2007 | Customer Dispute | Withdrawn | $40,000.00 | $0.00 | See FINRA Report |
| Nadine Z Faulis | 1977686 | 1 | 08/31/2007 | Customer Dispute | Withdrawn | $14,403.00 | $0.00 | See FINRA Report |