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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Keith Tucker | 2879717 | 3 | 05/21/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Katherine Burke Flores | 1064168 | 2 | 05/05/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth John Kolnicki | 1377627 | 1 | 04/03/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Seth Cohen | 2635360 | 1 | 04/01/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Michael Baumgartner | 15181 | 2 | 10/30/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael John Bergin | 1393697 | 5 | 10/23/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Smyth Barker | 1824233 | 2 | 09/12/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Damon Robert Bootes | 2444844 | 3 | 09/04/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Scott Murnick | 2139212 | 1 | 08/13/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Thomas Grogan | 1270775 | 1 | 06/18/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |