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 |
|---|---|---|---|---|---|---|---|---|
| Ernest Albert Newman | 2850881 | 5 | 05/21/2001 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Douglas Ellwood Woolley | 2158996 | 5 | 05/21/2001 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Julie Chi-Ching Chen Tung | 2773967 | 2 | 05/17/2001 | Customer Dispute | Withdrawn | $24,180.60 | $0.00 | See FINRA Report |
| Julie Chi-Ching Chen Tung | 2773967 | 2 | 05/17/2001 | Customer Dispute | Withdrawn | $5,760.87 | $0.00 | See FINRA Report |
| Richard D Dunagan | 2255644 | 2 | 05/07/2001 | Customer Dispute | Withdrawn | $350,000.00 | $0.00 | See FINRA Report |
| Timothy Joel Hinsvark | 1253787 | 2 | 05/04/2001 | Customer Dispute | Withdrawn | $27,000.00 | $0.00 | See FINRA Report |
| Nicholas Paul Mamula | 2201525 | 3 | 05/03/2001 | Customer Dispute | Withdrawn | $8,000.00 | $0.00 | See FINRA Report |
| Jesse Paul Crispe | 2562512 | 4 | 04/27/2001 | Customer Dispute | Withdrawn | $10,000.00 | $0.00 | See FINRA Report |
| Scott Ronald Giltinan | 2931197 | 1 | 04/27/2001 | Customer Dispute | Withdrawn | $300,000.00 | $0.00 | See FINRA Report |
| Terry Eugene Stratton | 1556334 | 2 | 04/19/2001 | Customer Dispute | Withdrawn | $82,158.00 | $0.00 | See FINRA Report |