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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Harvey Rice | 2175213 | 5 | 11/29/2004 | Customer Dispute | Withdrawn | $8,050.00 | $0.00 | See FINRA Report |
| Richard Thomas Carter | 1766206 | 1 | 11/19/2004 | Customer Dispute | Withdrawn | $130,000.00 | $0.00 | See FINRA Report |
| Jeffrey David Thoele | 2201196 | 11 | 11/18/2004 | Customer Dispute | Withdrawn | $13,300.00 | $0.00 | See FINRA Report |
| Edward Thomas Coda | 1776811 | 4 | 11/03/2004 | Customer Dispute | Withdrawn | $120,241.00 | $0.00 | See FINRA Report |
| Rajesh Khullar | 1876319 | 2 | 11/01/2004 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Thavaselan Subramaniam | 1948362 | 2 | 10/30/2004 | Customer Dispute | Withdrawn | $23,787.00 | $0.00 | See FINRA Report |
| Scott Paul Elsas | 1417360 | 2 | 10/30/2004 | Customer Dispute | Withdrawn | $36,000.00 | $0.00 | See FINRA Report |
| Robert Neil Barber | 2279678 | 5 | 10/28/2004 | Customer Dispute | Withdrawn | $44,000.00 | $0.00 | See FINRA Report |
| Robert Leo Vonderharr | 1556834 | 3 | 10/27/2004 | Customer Dispute | Withdrawn | $94,000.00 | $0.00 | See FINRA Report |
| Mathias Daniel Summers | 1219123 | 1 | 10/18/2004 | Customer Dispute | Withdrawn | $60,000.00 | $0.00 | See FINRA Report |