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 |
|---|---|---|---|---|---|---|---|---|
| James Michael Kearney | 727845 | 5 | 11/30/-0001 | Customer Dispute | Settled | $203,041.00 | $0.00 | See FINRA Report |
| James Michael Kearney | 727845 | 5 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Lawrence Solomon | 1199222 | 1 | 11/30/-0001 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Steven Michael Pelton | 869289 | 1 | 11/30/-0001 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Richard Bown Glassburn | 222800 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $5,500.00 | See FINRA Report |
| Keith Franklin Knight | 272392 | 3 | 11/30/-0001 | Customer Dispute | Award / Judgment | $30,000.00 | $7,850.00 | See FINRA Report |
| Steven Mark Beatty | 1259282 | 1 | 11/30/-0001 | Customer Dispute | Settled | $24,980.00 | $0.00 | See FINRA Report |
| Todd Richard Kingsley | 1157001 | 2 | 11/30/-0001 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Jerome David Winnick | 470061 | 6 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sebastian Lucido | 1732845 | 1 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |