Our Staff has compiled our research into a database of FINRA Broker Disclosures for Ptr, Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Alan Mitchell Krim | 2785337 | 1 | 04/24/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Frank Anthony Maiolo | 2369597 | 3 | 10/08/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank Anthony Maiolo | 2369597 | 3 | 08/05/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank Anthony Maiolo | 2369597 | 3 | 02/10/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Joseph Giles | 5244161 | 1 | 10/09/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dennis Patrick McBride | 2322657 | 1 | 12/11/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Crompton | 57381 | 5 | 09/24/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Crompton | 57381 | 5 | 04/21/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Crompton | 57381 | 5 | 04/21/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Crompton | 57381 | 5 | 03/05/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |