Our Staff has compiled our research into a database of FINRA Broker Disclosures. 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 Locy | 817730 | 4 | 06/14/2005 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Barry Israel Hertz | 1475329 | 3 | 06/14/2005 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Lee Bradshaw | 1351082 | 4 | 05/13/2005 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Bradley Hollenbeck | 2097674 | 4 | 05/13/2005 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Eric Nothern | 1190958 | 2 | 05/12/2005 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth William Brown | 821247 | 18 | 04/27/2005 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Guillaume Marie Pollet | 1898958 | 2 | 04/21/2005 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Guy Andrew Williams | 2884297 | 3 | 04/01/2005 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| David Michael Faubert | 2150188 | 3 | 03/23/2005 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Thurston Gene Gilman | 1141747 | 4 | 03/17/2005 | Civil | Final | $0.00 | $0.00 | See FINRA Report |