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 |
|---|---|---|---|---|---|---|---|---|
| Chien Kain Yeh | 4777090 | 3 | 04/10/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gwendolyn Pudim Tibbals | 1093467 | 14 | 03/12/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| George James Costakis | 54838 | 3 | 02/15/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Knox McCallum | 2464778 | 1 | 01/05/1998 | Customer Dispute | Settled | $234,000.00 | $0.00 | See FINRA Report |
| Charles David Villarreal | 5071421 | 1 | 04/27/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Keith Zuckerberg | 2313753 | 3 | 03/04/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tyler James Jordan | 6642972 | 1 | 11/20/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Laurence Lowell McCarthy | 6057698 | 3 | 10/16/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Joseph Spacher | 851233 | 1 | 12/01/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Gary Weinkle | 2532595 | 2 | 09/19/1995 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |