Our Staff has compiled our research into a database of FINRA Broker Disclosures for Securities Management & Research, 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 |
|---|---|---|---|---|---|---|---|---|
| George Anthony Gutierrez | 2140175 | 2 | 03/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| George Anthony Gutierrez | 2140175 | 2 | 07/23/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Douglas Thomas | 2737704 | 2 | 06/20/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Louis Patrick Danna | 1209052 | 1 | 04/05/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Brian Davenport | 1355871 | 2 | 01/27/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Berthel | 823289 | 3 | 09/30/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Ralph Milan | 1061151 | 1 | 12/15/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |