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 |
|---|---|---|---|---|---|---|---|---|
| Brian Quitman Newell | 5406053 | 1 | 05/04/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Harold Thomas Whalen | 4558083 | 1 | 02/19/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |