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 |
|---|---|---|---|---|---|---|---|---|
| Albert Garfield | 217892 | 5 | 11/02/1979 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| James Ralph Betts | 20678 | 3 | 06/08/1979 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Willoughby Ferdinand Richardson | 375874 | 1 | 05/05/1979 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Arthur Rafkind | 1797087 | 5 | 04/24/1979 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| John Richard Kendall | 841514 | 3 | 03/21/1979 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Lester George Kaufman | 1032226 | 1 | 12/12/1978 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Alan Daniels | 60736 | 7 | 07/19/1978 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremiah Lee Oconnor | 1517605 | 2 | 05/30/1978 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Salvatore Felice Geswaldo | 221502 | 8 | 05/11/1978 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Eugene Louis Mauro | 1277777 | 4 | 01/05/1978 | Civil | Final | $0.00 | $0.00 | See FINRA Report |