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 |
|---|---|---|---|---|---|---|---|---|
| Edward James Panfili | 1265719 | 1 | 08/01/1981 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Michael John Oconnor | 1096256 | 5 | 05/15/1981 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Harris Sacks | 819057 | 1 | 04/02/1981 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Navah Weiss Turin | 1266227 | 1 | 01/01/1981 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Vincent Baratta | 1294624 | 1 | 10/29/1980 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Lochard Hartley | 238821 | 3 | 08/27/1980 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Thea Geller | 844754 | 1 | 07/16/1980 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| John Thomas Mitchell | 336974 | 1 | 06/01/1980 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Norman William Vertrees | 454413 | 2 | 11/13/1979 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Karl John Gerlach | 221193 | 2 | 11/13/1979 | Civil | Final | $0.00 | $0.00 | See FINRA Report |