Our Staff has compiled our research into a database of FINRA Broker Disclosures for . 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 |
|---|---|---|---|---|---|---|---|---|
| Shawn Shaughnessy | 6202830 | 2 | 09/29/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Joseph Mullane | 3222113 | 5 | 09/19/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward William Adams | 1307441 | 1 | 08/18/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Drew Jonathan Prescott | 4986993 | 1 | 06/06/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Steven Mistretta | 5482267 | 1 | 04/12/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lisa M Siemering | 2193582 | 1 | 02/13/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Alan Griffith | 3111402 | 1 | 08/04/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lauren Erickson Bennett | 4807079 | 1 | 04/29/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joel Davis Kamphuis | 1730775 | 5 | 10/30/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stanley Joseph Smith | 1180473 | 4 | 10/27/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |