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 |
|---|---|---|---|---|---|---|---|---|
| Keith Richard Woodcox | 3120769 | 1 | 12/10/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Telesforo de La Cruz | 5437865 | 4 | 11/04/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Laura McCallum | 2357014 | 1 | 10/16/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Wilson Grace | 5419899 | 2 | 08/06/1992 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jerry L Smith | 2883864 | 1 | 07/14/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Juli Cherie Swanson | 6745615 | 1 | 06/15/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Frederick Salah | 5040520 | 1 | 05/22/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Earl Soistmann | 2816687 | 2 | 04/05/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Christopher McCullough | 5927519 | 1 | 03/28/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Girard James McSpiritt | 1682803 | 1 | 03/24/1992 | Customer Dispute | Settled | $105,000.00 | $0.00 | See FINRA Report |