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 |
|---|---|---|---|---|---|---|---|---|
| David Brian Schaum | 1099016 | 5 | 11/28/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Alan Lefton | 2578470 | 2 | 06/08/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Lee Kiewiet | 269211 | 3 | 01/12/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Michael Cartolano | 1673541 | 5 | 11/20/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bruce Andrew Berman | 1054408 | 1 | 05/28/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lawrence Arnold Goldman | 2090633 | 1 | 11/26/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Alan Lefton | 2578470 | 2 | 07/10/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Lee Kiewiet | 269211 | 3 | 12/01/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Arthur Joseph McPhail | 1155417 | 1 | 06/12/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Van Robin Jonker | 2414351 | 1 | 06/01/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |