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 |
|---|---|---|---|---|---|---|---|---|
| William Kent Elliott | 2367547 | 1 | 02/16/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Mark Marantz | 1082207 | 2 | 03/22/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Wayne Ellsworth | 1488310 | 1 | 01/01/1968 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wallace Edward Cook | 1348350 | 2 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Joseph Karpinsky | 1745643 | 5 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Brian Schaum | 1099016 | 5 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephan Daniel Winn | 3228543 | 2 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |