Our Staff has compiled our research into a database of FINRA Broker Disclosures for Keefe, Bruyette & Woods, 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 |
|---|---|---|---|---|---|---|---|---|
| Casey Harman | 5302142 | 1 | 05/30/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Richard Kendrick | 727459 | 1 | 06/17/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Raymond Thomas | 3188834 | 1 | 04/21/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Murphy Harasimowicz | 1799088 | 1 | 02/19/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Tomas Dellisola | 2269616 | 2 | 07/15/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |