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 |
|---|---|---|---|---|---|---|---|---|
| Francis Albert Bautz | 3217237 | 2 | 04/21/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| John Franklin Keene | 1811024 | 2 | 04/10/2007 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |