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 |
---|---|---|---|---|---|---|---|---|
Robert George Malone | 318125 | 10 | 11/24/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Anthony Joseph Harris | 1733557 | 2 | 11/18/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Thomas Michael Baumgartner | 15181 | 2 | 05/15/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Jeffrey Brian Forehand | 1618003 | 7 | 03/30/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Don Clay Hall | 823983 | 8 | 12/01/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Robert George Malone | 318125 | 10 | 05/29/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
William Carl Stead | 1058461 | 1 | 03/23/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Anne Theresa Dunne | 1015144 | 2 | 08/14/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Robert George Malone | 318125 | 10 | 05/31/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
William Louis Rupnick | 1362040 | 2 | 05/23/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |