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 |
|---|---|---|---|---|---|---|---|---|
| Dennis Lee Keating | 2918547 | 4 | 05/06/2010 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Joel Pensley | 1853286 | 3 | 05/05/2010 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew John Ryan | 2055478 | 4 | 05/03/2010 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Lloyd Craig Blankfein | 1452781 | 7 | 04/30/2010 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Lloyd Craig Blankfein | 1452781 | 7 | 04/30/2010 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Lloyd Craig Blankfein | 1452781 | 7 | 04/26/2010 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Lloyd Craig Blankfein | 1452781 | 7 | 04/26/2010 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Susan Gail Slovak | 4079488 | 2 | 04/23/2010 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Roy Dixon | 1659422 | 2 | 04/22/2010 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Russell Campbell | 4712328 | 2 | 04/16/2010 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |