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 Baroutas | 1252613 | 4 | 01/08/1993 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Steven E Crouch | 3273557 | 1 | 04/05/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| George Edward Thiergartner | 1123867 | 4 | 09/01/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Keith Cole | 1787207 | 2 | 08/01/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Keith Cole | 1787207 | 2 | 07/01/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Allen Gelber | 1820592 | 4 | 07/01/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Allen Gelber | 1820592 | 4 | 05/08/1991 | Customer Dispute | Settled | $39,253.60 | $0.00 | See FINRA Report |
| Jay Thoburn Brown | 32494 | 3 | 03/14/1991 | Customer Dispute | Settled | $15,228.70 | $0.00 | See FINRA Report |
| George Edward Thiergartner | 1123867 | 4 | 02/20/1991 | Customer Dispute | Settled | $258,000.00 | $0.00 | See FINRA Report |
| Michael Anthony Mullen | 1428116 | 2 | 10/25/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |