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 |
|---|---|---|---|---|---|---|---|---|
| James Lawrence Smith | 1556046 | 2 | 01/06/1992 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Robert William Freshour | 1564319 | 3 | 12/10/1991 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Edwin C Cohn | 1225596 | 2 | 09/20/1991 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Anne Theresa Dunne | 1015144 | 2 | 08/14/1991 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Howard A Froman | 215074 | 6 | 08/14/1991 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Richard Gardiner | 1297370 | 3 | 03/27/1991 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Angelo C Prieto | 4837146 | 2 | 03/17/1991 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Cheatham Thomas | 445386 | 3 | 01/21/1991 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Joseph Dibenedetto | 1037221 | 7 | 10/31/1990 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Boone Pickens | 2843987 | 1 | 09/27/1990 | Civil | Final | $0.00 | $0.00 | See FINRA Report |