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 |
|---|---|---|---|---|---|---|---|---|
| Jon Ryan Gabrielson | 1547833 | 4 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Dunlap Lownes | 828030 | 3 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Lee Rowe | 1010502 | 4 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Cheryl Ann Ciccarello | 872002 | 2 | 11/30/-0001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alan Arthur Schroder | 801763 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $200,000.00 | $200,000.00 | See FINRA Report |
| George Scott Olivas | 868263 | 1 | 11/30/-0001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Clifford Knochel | 1342201 | 2 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alan Carl Wolman | 2006916 | 5 | 11/30/-0001 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| John Joseph Karpinsky | 1745643 | 5 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Neil Alan Fox | 212289 | 4 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $12,000.00 | See FINRA Report |