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 | 02/20/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Louis Grant Bergamo | 2170048 | 2 | 11/24/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William John Raney | 2493393 | 2 | 11/20/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Latafath Hussain | 4738949 | 1 | 06/09/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert George Malone | 318125 | 10 | 05/28/1986 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Henry Williams | 867975 | 4 | 05/07/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Hardin Shoemaker | 422451 | 2 | 02/25/1986 | Customer Dispute | Settled | $40,500.00 | $0.00 | See FINRA Report |
| Jeffery Ervin Blake | 2890861 | 1 | 01/01/1986 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Max Robert Garrison | 5039905 | 1 | 11/25/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Edward Hearns | 241117 | 3 | 07/01/1985 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |