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 |
|---|---|---|---|---|---|---|---|---|
| Dennis George Poulos | 1113259 | 5 | 09/07/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roberto Recine | 2588259 | 1 | 05/25/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mitchell Dean Rosenberg | 1500813 | 1 | 01/09/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Theodore Robert Young | 2026394 | 2 | 10/11/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Monty Alan Alspaugh | 4201153 | 6 | 11/17/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward James Kelly | 2017986 | 4 | 05/04/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |