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 Lowell Vickery | 1156835 | 3 | 02/13/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Patrick Michael Kelly | 1258726 | 8 | 01/01/1995 | Customer Dispute | Settled | $73,130.50 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 12/30/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 11/01/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Joe Randazzo | 2019363 | 1 | 08/05/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Thomas Laskey | 2354286 | 3 | 04/30/1992 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lance Christopher Jones | 4511781 | 1 | 02/17/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Barry L Moss | 4279246 | 1 | 11/03/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Wayne Schriber | 2816151 | 1 | 03/16/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark William Thompson | 840935 | 8 | 02/17/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |