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 |
|---|---|---|---|---|---|---|---|---|
| Michael Joseph Uvenio | 4519489 | 1 | 09/14/2011 | Customer Dispute | Withdrawn | $320,000.00 | $0.00 | See FINRA Report |
| Matt Scott Neas | 2863660 | 17 | 09/13/2011 | Customer Dispute | Withdrawn | $240,000.00 | $0.00 | See FINRA Report |
| Wesley Juan Shields | 5212848 | 1 | 09/09/2011 | Customer Dispute | Withdrawn | $6,000.00 | $0.00 | See FINRA Report |
| David Peter Rose | 1288846 | 1 | 09/09/2011 | Customer Dispute | Withdrawn | $18,500,000.00 | $0.00 | See FINRA Report |
| Roy E Cook | 3129380 | 1 | 09/06/2011 | Customer Dispute | Withdrawn | $60,000.00 | $0.00 | See FINRA Report |
| John Bayard Snowden | 1443524 | 3 | 09/02/2011 | Customer Dispute | Withdrawn | $2,400,000.00 | $0.00 | See FINRA Report |
| David Christopher Walkup | 2258065 | 2 | 09/01/2011 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Deborah Johnston Denooy | 1526393 | 3 | 08/25/2011 | Customer Dispute | Withdrawn | $500,000.00 | $0.00 | See FINRA Report |
| Ryan Edward Starling | 4284674 | 2 | 08/23/2011 | Customer Dispute | Withdrawn | $386,123.00 | $0.00 | See FINRA Report |
| Francis Moffitt Traynor | 449006 | 3 | 08/19/2011 | Customer Dispute | Withdrawn | $1,100,000.00 | $0.00 | See FINRA Report |