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 |
|---|---|---|---|---|---|---|---|---|
| John Henry Kroeger | 2399809 | 3 | 10/04/2008 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Joseph Anthony Tucciarone | 2155165 | 2 | 09/26/2008 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Robert William Ward | 4324025 | 6 | 08/12/2008 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Brett C Klotz | 4948825 | 1 | 08/06/2008 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| John William Kokie | 2118188 | 1 | 07/31/2008 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Samuel Joseph Hennemann | 6478805 | 1 | 07/25/2008 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Timothy John Bracy | 2826087 | 2 | 05/29/2008 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Mark Wallis Kleindienst | 2354681 | 1 | 05/20/2008 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Arthur John Hein | 1584336 | 1 | 05/16/2008 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Thomas Michael Arnot | 5470130 | 1 | 04/01/2008 | Civil Bond | $0.00 | $0.00 | See FINRA Report |