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 |
|---|---|---|---|---|---|---|---|---|
| Sandi Miriam Abernethy | 7672655 | 1 | 07/20/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Raymond A Diffee | 5178878 | 3 | 06/10/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Telesforo de La Cruz | 5437865 | 4 | 05/20/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Antonio Aguilar | 4326772 | 1 | 05/19/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Telesforo de La Cruz | 5437865 | 4 | 04/29/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michel Martins Pertile | 6408591 | 2 | 03/05/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Dixon Scott Hopkins | 4996418 | 2 | 02/22/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Wayne Rollins | 2751924 | 2 | 02/16/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Crawford Houston | 4052239 | 1 | 02/11/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Oren Davis | 5873204 | 1 | 12/06/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |