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 |
|---|---|---|---|---|---|---|---|---|
| Robert Carl Frank | 4782604 | 1 | 07/26/2004 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Arthur Bornstein | 1207952 | 2 | 07/16/2004 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Lawrence Alan Clasby | 1747298 | 4 | 07/09/2004 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Earl Shawn Casias | 1909806 | 2 | 07/09/2004 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Victor Paul Dhooge | 1160668 | 2 | 06/29/2004 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Arthur Scheinert | 1936183 | 4 | 06/21/2004 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Fiore John Gallucci | 217067 | 2 | 06/16/2004 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Kautilya Sharma | 2124304 | 6 | 06/04/2004 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Won Charlie Yi | 2167447 | 3 | 05/25/2004 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| William Andrew Ballentine | 1377647 | 3 | 05/18/2004 | Civil | On Appeal | $0.00 | $0.00 | See FINRA Report |