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 |
|---|---|---|---|---|---|---|---|---|
| George Paul Prate | 5878575 | 1 | 07/18/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Lee Holmes | 5447373 | 1 | 07/08/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wayne E Gregoire | 7587338 | 1 | 06/25/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christina Lea Larsen | 5189257 | 2 | 06/14/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeff Raymond Hodgeman | 5833638 | 1 | 06/12/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gabriel John Sokolowski | 2714755 | 1 | 05/30/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Peter Steenbock | 6453423 | 1 | 05/27/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Ray Ligon | 6038615 | 1 | 12/23/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Keith Michael Vance | 2365502 | 1 | 11/25/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Justin Michael Guidroz | 5109459 | 1 | 11/07/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |