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 |
|---|---|---|---|---|---|---|---|---|
| David Brian Schaum | 1099016 | 5 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brett W Cooper | 2106935 | 3 | 11/30/-0001 | Customer Dispute | Settled | $24,358.00 | $0.00 | See FINRA Report |
| Leslie W Keely | 847957 | 1 | 11/30/-0001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Walton Brown | 33188 | 4 | 11/30/-0001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Emmanuel D Agorastos | 1823 | 6 | 11/30/-0001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Emmanuel D Agorastos | 1823 | 6 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Frederick Brennan | 821647 | 17 | 11/30/-0001 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Constandinno Nick Petsas | 1289468 | 1 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gary Yin | 2517783 | 4 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Rossiter Sweeney | 1034222 | 2 | 11/30/-0001 | Customer Dispute | Award / Judgment | $91,381.00 | $20,750.00 | See FINRA Report |