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 |
|---|---|---|---|---|---|---|---|---|
| Richard Happle | 1095540 | 3 | 08/26/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Anthony Emmanuel | 2046654 | 5 | 06/29/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Harris Sullivan | 1341663 | 4 | 11/05/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |