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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Larry Brian Canaday | 1697396 | 1 | 10/10/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |