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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey William Stclair | 1429674 | 2 | 06/28/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Richard Secord | 417775 | 1 | 06/01/1989 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Anthony Tarantino | 1268379 | 7 | 05/22/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bradley Joseph Kellen | 3193258 | 1 | 04/17/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Hardin Shoemaker | 422451 | 2 | 04/03/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Gordon Taylor | 2440968 | 1 | 03/24/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rodney Clarke Jones | 1111094 | 3 | 02/17/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Charles Young | 1111994 | 3 | 12/27/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Glenn Jeffrey Reis | 1172517 | 1 | 12/08/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ward David Goldberg | 1325743 | 3 | 11/28/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |