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 |
|---|---|---|---|---|---|---|---|---|
| Sean Carroll | 6921375 | 4 | 02/14/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Carroll | 6921375 | 4 | 01/27/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chris G Bostetter | 6832280 | 2 | 08/09/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Felipe R Lewis | 5720208 | 1 | 06/27/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ali H Kasap | 5492255 | 2 | 06/09/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mary J Jones | 6623715 | 1 | 05/27/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Aaron Joseph Storiale | 7064561 | 2 | 05/26/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dorothy Fulford Browning | 6453131 | 5 | 03/16/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Randolph Allaire | 7265787 | 1 | 03/05/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dorothy Fulford Browning | 6453131 | 5 | 02/22/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |