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 Byron Dokken | 6423259 | 1 | 08/30/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Christopher J Gordon | 5714224 | 8 | 08/30/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Craig J Ferraro | 2423686 | 1 | 08/30/2024 | Customer Dispute | Pending | $47,541.00 | $0.00 | See FINRA Report |
| Christopher Francis Michalman | 2750759 | 2 | 08/30/2024 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Harry Allan Horn | 1031140 | 1 | 08/30/2024 | Customer Dispute | Pending | $70,000.00 | $0.00 | See FINRA Report |
| Peter James Decaprio | 1293305 | 3 | 08/30/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Nathan Slater | 2061869 | 2 | 08/30/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sean Frederick Lawton | 2201192 | 1 | 08/30/2024 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Brett Thomas Straub | 2118331 | 2 | 08/29/2024 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Jeffrey Thomas Higgins | 2871443 | 9 | 08/29/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |