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 |
|---|---|---|---|---|---|---|---|---|
| Michael Bruce Dwyer | 5539397 | 1 | 11/21/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eliseo Fuentes | 7796857 | 1 | 08/23/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Dean Price | 5520853 | 2 | 06/25/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Wayne Thomas | 3125492 | 2 | 05/07/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Janine Marie Ruland | 4969604 | 3 | 03/18/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tobin John Mergenthaler | 4795660 | 1 | 06/24/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Charles Hannon | 6302877 | 1 | 02/24/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Dean Price | 5520853 | 2 | 10/22/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Thomas Damon | 4501030 | 4 | 07/30/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Adam David Herzing | 5448024 | 2 | 07/08/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |