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 |
|---|---|---|---|---|---|---|---|---|
| Elizabeth Kerr | 7433720 | 1 | 04/19/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Joseph Madril | 5023677 | 1 | 02/19/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Alexander Thompson | 5379509 | 2 | 01/27/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Newton Dollar | 7097580 | 1 | 01/01/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alex William Cormier | 7492239 | 1 | 12/16/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bryan Matthew Sweezy | 6045353 | 1 | 12/05/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Blayde Woodrum | 4886188 | 1 | 11/21/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Charles Close | 6190115 | 1 | 09/28/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jon David Mitchell | 2875443 | 1 | 08/09/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Alan Kecken | 5240580 | 1 | 07/22/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |