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 |
|---|---|---|---|---|---|---|---|---|
| Steven Leigh Anderson | 5573 | 4 | 11/30/-0001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Lambert Otten | 1192252 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $29,644.30 | $13,025.00 | See FINRA Report |
| Louis Francis Albanese | 703647 | 20 | 11/30/-0001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Degiralamo | 64047 | 1 | 11/30/-0001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Theodore E Larson | 303021 | 42 | 11/30/-0001 | Customer Dispute | Settled | $513,780.00 | $0.00 | See FINRA Report |
| Theodore E Larson | 303021 | 42 | 11/30/-0001 | Customer Dispute | Settled | $514,445.00 | $0.00 | See FINRA Report |
| Steven Kerstein | 871661 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $269,000.00 | $75,000.00 | See FINRA Report |
| Jonathan Wade Whitcraft | 719854 | 8 | 11/30/-0001 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Fernando Ferri | 1059965 | 1 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Vining Davis | 601546 | 1 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |