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 |
|---|---|---|---|---|---|---|---|---|
| William Anthony Mercer | 1126913 | 1 | 07/23/2001 | Customer Dispute | Withdrawn | $240,000.00 | $0.00 | See FINRA Report |
| Robert Paul Friedman | 1101794 | 3 | 07/19/2001 | Customer Dispute | Withdrawn | $7,000.00 | $0.00 | See FINRA Report |
| Stephen William Guercio | 1523331 | 8 | 07/12/2001 | Customer Dispute | Withdrawn | $30,000.00 | $0.00 | See FINRA Report |
| Henry Patrick Keating | 2169507 | 3 | 07/05/2001 | Customer Dispute | Withdrawn | $12,451.80 | $0.00 | See FINRA Report |
| W Lawrence Oakley | 2042348 | 1 | 07/02/2001 | Customer Dispute | Withdrawn | $120,000.00 | $0.00 | See FINRA Report |
| Raquel Gonzalez Chavez | 1146086 | 9 | 06/29/2001 | Customer Dispute | Withdrawn | $300,000.00 | $0.00 | See FINRA Report |
| Richard Kunio Hirayama | 2532984 | 1 | 06/29/2001 | Customer Dispute | Withdrawn | $414,000.00 | $0.00 | See FINRA Report |
| Erik C Scaranuzzo | 4199649 | 1 | 06/22/2001 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Keith Webster | 2166310 | 1 | 06/01/2001 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Judy W Lev | 1106636 | 5 | 05/22/2001 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |