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 |
|---|---|---|---|---|---|---|---|---|
| Laurence Geoffrey Allen | 1063970 | 7 | 12/20/2018 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Lloyd Craig Blankfein | 1452781 | 7 | 12/20/2018 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Jeffrey L Wendel | 4497521 | 3 | 12/18/2018 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Claude Steven Mosley | 1161832 | 9 | 12/18/2018 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Randall Fritts | 1367063 | 4 | 12/18/2018 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Alan Koch | 6477256 | 5 | 12/18/2018 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Robert Duncan | 841620 | 2 | 12/18/2018 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Randy Trager Rondberg | 1826543 | 4 | 12/18/2018 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Wylen Anderson | 2113685 | 5 | 12/18/2018 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Alan Harold New | 2892508 | 18 | 12/17/2018 | Civil | Final | $0.00 | $0.00 | See FINRA Report |