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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Richard Carpel | 41215 | 1 | 02/27/1985 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Carl Louis Meier | 1034987 | 2 | 12/26/1984 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Fredrick Thomas Wollman | 719555 | 5 | 12/01/1984 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Darren Mark Howcroft | 3052682 | 3 | 10/22/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Henry Williams | 867975 | 4 | 10/03/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth Henry Williams | 867975 | 4 | 10/03/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joel Davis Kamphuis | 1730775 | 5 | 08/02/1984 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Jay Greenberg | 4332805 | 1 | 04/01/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Darren Mark Howcroft | 3052682 | 3 | 01/04/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert William Drier | 1968623 | 1 | 08/27/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |