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 |
|---|---|---|---|---|---|---|---|---|
| John Richard Kiger | 6450078 | 1 | 07/14/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Henry Cory | 1249947 | 2 | 05/23/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Ira Kramer | 502322 | 1 | 05/06/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anne Summers | 2591409 | 1 | 12/30/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clint David Muirhead | 5363261 | 1 | 11/10/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Lee Smith | 7235973 | 1 | 06/06/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Graham Aitken | 5956581 | 1 | 04/29/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Joseph Hughes | 1752620 | 2 | 02/22/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tablo Rodriguez Wright | 5907914 | 2 | 12/26/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel John Barboni | 5464651 | 1 | 12/15/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |