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 |
|---|---|---|---|---|---|---|---|---|
| M Thad Estes | 1914752 | 1 | 01/15/2002 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Rick Allen Nunley | 4301980 | 1 | 01/14/2002 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Lei Shi | 2859762 | 1 | 01/11/2002 | Customer Dispute | Withdrawn | $12,000.00 | $0.00 | See FINRA Report |
| Chad G Reibman | 2245627 | 3 | 01/08/2002 | Customer Dispute | Withdrawn | $160,000.00 | $0.00 | See FINRA Report |
| Andrew Matthew Polis | 1257552 | 3 | 01/02/2002 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Brett Ian Goldstein | 3104778 | 3 | 01/01/2002 | Customer Dispute | Withdrawn | $49,000.00 | $0.00 | See FINRA Report |
| Ralph Todd Schlosser | 2200388 | 20 | 12/20/2001 | Customer Dispute | Withdrawn | $41,498.00 | $0.00 | See FINRA Report |
| James Adam Paquette | 2164109 | 9 | 12/11/2001 | Customer Dispute | Withdrawn | $16,485.50 | $0.00 | See FINRA Report |
| Leonard John Gargagliano | 2331826 | 3 | 12/11/2001 | Customer Dispute | Withdrawn | $15,200.00 | $0.00 | See FINRA Report |
| James Tracy Stines | 1175075 | 2 | 12/05/2001 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |