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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Patrick Cavanaugh | 5039318 | 1 | 08/02/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Hoffman | 1847962 | 1 | 08/01/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Eugene Kamp | 1269291 | 6 | 08/01/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cheryl Ann Ciccarello | 872002 | 2 | 07/31/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Susan Annette Wester | 2562813 | 5 | 07/27/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Allan Peter Glad | 1236961 | 1 | 07/27/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Stephen Cook | 851916 | 2 | 07/26/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ulysses Sigmund Williams | 1838062 | 1 | 07/26/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stanley Ball | 1284747 | 10 | 07/24/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Damian McKenzie | 2180710 | 5 | 07/22/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |