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 |
|---|---|---|---|---|---|---|---|---|
| Sidney Mondschein | 2064081 | 4 | 12/06/2007 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Marc Allan Freedman | 1094914 | 4 | 12/05/2007 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| David Wells Knall | 272121 | 5 | 12/03/2007 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Eric R Majors | 2484297 | 3 | 11/16/2007 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Ranjit Mangha Kripalani | 1474932 | 7 | 11/14/2007 | Civil | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Walter Milton Schenker | 413041 | 1 | 11/05/2007 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Kendall Vance | 2426057 | 2 | 10/24/2007 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Gregg Ashley Smith | 1966511 | 2 | 09/27/2007 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Carleton Dean | 2270920 | 2 | 09/27/2007 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Byrum Upton | 1004599 | 3 | 09/25/2007 | Civil | Final | $0.00 | $0.00 | See FINRA Report |