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 |
|---|---|---|---|---|---|---|---|---|
| Alan Barry Krichman | 1608713 | 2 | 04/22/2003 | Customer Dispute | Withdrawn | $25,000.00 | $0.00 | See FINRA Report |
| Thomas Francis Morley | 1302233 | 1 | 04/16/2003 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Darwin Whitcomb Heath Jr | 824772 | 3 | 04/14/2003 | Customer Dispute | Withdrawn | $170,060.00 | $0.00 | See FINRA Report |
| Michael Harvey Carley | 3078960 | 1 | 04/10/2003 | Customer Dispute | Withdrawn | $8,358.00 | $0.00 | See FINRA Report |
| Robert Scott Bradley | 2414494 | 2 | 04/09/2003 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Thomas Carl Myers | 2811802 | 1 | 04/04/2003 | Customer Dispute | Withdrawn | $700,000.00 | $0.00 | See FINRA Report |
| Richard Mandel Stern | 825096 | 6 | 04/02/2003 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Lee Just | 4178560 | 1 | 04/02/2003 | Customer Dispute | Withdrawn | $25,848.00 | $0.00 | See FINRA Report |
| Timothy Burton Hockman | 2040818 | 3 | 04/02/2003 | Customer Dispute | Withdrawn | $25,848.00 | $0.00 | See FINRA Report |
| Daniel Lawrence Caso | 1587538 | 5 | 04/01/2003 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |