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 |
|---|---|---|---|---|---|---|---|---|
| Delsa Ulrica Thomas | 5052641 | 2 | 02/14/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Louis Dowd | 4449066 | 3 | 01/25/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Randolph Seligman | 418469 | 6 | 01/17/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| David M Dewitt | 5460811 | 2 | 01/04/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Peter James Eichler | 721033 | 3 | 12/14/2012 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Reniero Castillo Francisco | 1844351 | 2 | 12/12/2012 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Fred Gerritt Jager | 1025209 | 1 | 12/05/2012 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph James Hennessy | 1380254 | 4 | 11/29/2012 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Joel Irwing Wilson | 5334955 | 6 | 11/15/2012 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Walter Alexis Morales | 1302597 | 2 | 11/08/2012 | Civil | Final | $0.00 | $0.00 | See FINRA Report |