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 |
|---|---|---|---|---|---|---|---|---|
| Hugh Michael Owens | 5068301 | 1 | 11/22/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ward David Goldberg | 1325743 | 3 | 11/17/1988 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Graves | 1398578 | 2 | 10/16/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Harold Francis Puhl | 1045552 | 5 | 10/01/1988 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |
| Eric Mark Menickella | 3082088 | 1 | 08/19/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Benton Moore | 1008089 | 6 | 08/15/1988 | Customer Dispute | Award / Judgment | $50,000.00 | $12,500.00 | See FINRA Report |
| Douglas James Propeck | 1470266 | 2 | 04/13/1988 | Customer Dispute | Settled | $418,000.00 | $0.00 | See FINRA Report |
| William John Raney | 2493393 | 2 | 04/01/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rodney Clarke Jones | 1111094 | 3 | 03/03/1988 | Customer Dispute | Settled | $95,398.20 | $0.00 | See FINRA Report |
| Stanley Joseph Smith | 1180473 | 4 | 02/22/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |