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 |
|---|---|---|---|---|---|---|---|---|
| Elizabeth Iris Grandy | 1330277 | 1 | 11/30/-0001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Leslie Baru | 1722032 | 6 | 11/30/-0001 | Customer Dispute | Settled | $140,585.00 | $0.00 | See FINRA Report |
| Raymond Allen Moore | 863699 | 1 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eddie Shu Fung | 2622816 | 3 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Donald Jay Katz | 2459235 | 2 | 11/30/-0001 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank Dominic Damico | 67012 | 1 | 11/30/-0001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Hampton Reuschle | 2991511 | 2 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Michael Finnegan | 819247 | 2 | 11/30/-0001 | Customer Dispute | Settled | $240,000.00 | $0.00 | See FINRA Report |
| Patrick Joseph Maas | 1032136 | 1 | 11/30/-0001 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |
| Jorge Ignacio Roca | 1148426 | 4 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |