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 |
|---|---|---|---|---|---|---|---|---|
| James Frankel Horrocks | 2468549 | 2 | 03/29/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Bruce Utter | 600105 | 5 | 01/17/1991 | Customer Dispute | Award / Judgment | $2,500,000.00 | $1,496,920.00 | See FINRA Report |
| David Bruce Utter | 600105 | 5 | 12/28/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Bruce Utter | 600105 | 5 | 12/16/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Thomas Dubois | 1468923 | 4 | 11/10/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Thomas Kratty | 1792182 | 2 | 04/01/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael T Goddard | 4739858 | 1 | 07/05/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |