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 |
|---|---|---|---|---|---|---|---|---|
| Erik Thomas Rautenberg | 7475769 | 1 | 11/26/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jose Ismael Medina | 6411448 | 2 | 11/10/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Joseph Weed | 5852684 | 2 | 09/12/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Clark Tobin | 5954662 | 1 | 09/12/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jordan Samuel Klein | 7022235 | 1 | 08/03/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bill Joe Eaton | 5308786 | 1 | 07/31/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven McNeal | 7413133 | 2 | 07/17/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Joseph Maguire | 6778544 | 1 | 07/15/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Roger Neumann | 6037550 | 1 | 06/03/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dorothy Fulford Browning | 6453131 | 5 | 04/26/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |