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 |
|---|---|---|---|---|---|---|---|---|
| Philip P Vidic | 5526694 | 1 | 12/21/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Wayne Rollins | 2751924 | 2 | 07/01/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Michael Liddell | 2407986 | 1 | 03/20/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carolyn Ann Thompson | 1637885 | 1 | 12/16/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian M Novotny | 5994453 | 2 | 11/12/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Duggan Callahan | 2231390 | 1 | 08/02/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Thomas Wareham | 2390739 | 1 | 06/10/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| George Peterrobert Valeri | 3171961 | 2 | 01/20/1984 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| George Peterrobert Valeri | 3171961 | 2 | 01/20/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Todd Stuart Grant | 2239483 | 1 | 10/30/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |