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 |
|---|---|---|---|---|---|---|---|---|
| David Earl Slater | 4917295 | 1 | 01/06/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kimberly Lynn Copat | 2795108 | 2 | 12/23/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Melissa Renee Rodriguez | 6616191 | 2 | 12/13/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Sean Barrios | 2534409 | 2 | 12/09/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ann Bishoff Harden | 3027384 | 3 | 12/01/1994 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tamara Suelynn Thomson | 6041085 | 1 | 09/06/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Melissa Renee Rodriguez | 6616191 | 2 | 08/15/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jamie Joe Reynolds | 4852015 | 2 | 07/01/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Nicolas Grokhowsky | 2053687 | 1 | 03/07/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sean Andrew Clarke | 5740673 | 1 | 02/14/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |