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 |
|---|---|---|---|---|---|---|---|---|
| David Ashley Maxwell | 4788174 | 1 | 06/17/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald James Anno | 3241258 | 1 | 06/05/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dan Robert Ohlwiler | 1020995 | 1 | 02/07/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stewart Swinton Smith | 4847443 | 2 | 10/18/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stewart Swinton Smith | 4847443 | 2 | 09/05/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wayburn Allen Costellow | 2169678 | 2 | 04/08/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Robert Lederer | 5798391 | 2 | 09/02/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wayburn Allen Costellow | 2169678 | 2 | 08/29/1986 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert William Crane | 5327582 | 6 | 11/26/1966 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert William Crane | 5327582 | 6 | 06/16/1966 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |