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 |
|---|---|---|---|---|---|---|---|---|
| Peter E Metcalf | 5764255 | 1 | 06/09/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Erik K Hofstrom | 4858680 | 1 | 08/06/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Michael Marzano | 4264804 | 1 | 10/25/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Wayne Harvey | 3275280 | 2 | 05/10/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Ward | 2596454 | 1 | 03/15/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clarence Homer Slaughter | 2680955 | 1 | 09/16/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Frederick Schmidt | 2316136 | 1 | 10/26/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carl Lee Thompson | 1373253 | 2 | 03/13/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |