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 Alan Raimo | 3041461 | 1 | 10/28/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Shonda Davis Hetherington | 4935583 | 1 | 05/23/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Andrew Duray | 4577194 | 1 | 10/12/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Portee | 6058348 | 1 | 09/10/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Anthony Jung | 4555142 | 2 | 08/01/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Anthony Jung | 4555142 | 2 | 08/01/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Lance Haight | 5763172 | 1 | 07/22/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Blaise Anthony Jarecki | 2103660 | 2 | 08/01/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Troy Lynn Semple | 6162292 | 1 | 06/29/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Michael Tatro | 5277282 | 3 | 06/06/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |