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 |
|---|---|---|---|---|---|---|---|---|
| William Clark Oconnor | 1263364 | 2 | 12/06/2001 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Allan Sheahan | 6082961 | 1 | 10/07/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joel Dean Worsfold | 1865718 | 1 | 08/22/2001 | Customer Dispute | Denied | $6,274.00 | $0.00 | See FINRA Report |
| Thomas Joseph Fridrich | 4368561 | 1 | 11/04/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Solomon David Berry | 6154908 | 1 | 09/19/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marcelo Daniel Bernardo | 2248872 | 1 | 08/17/1999 | Customer Dispute | Award / Judgment | $22,000.00 | $3,800.00 | See FINRA Report |
| Clark Leroy Permann | 2182278 | 3 | 05/14/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Paul William Boudwin | 4104762 | 1 | 03/04/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward Louis Shobe | 1134702 | 1 | 04/11/1996 | Customer Dispute | Settled | $400,882.00 | $0.00 | See FINRA Report |
| Marc Scott Schliefer | 1141378 | 1 | 05/10/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |