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 |
|---|---|---|---|---|---|---|---|---|
| Walter Alfred Bell | 1248685 | 2 | 05/29/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Keith Ritchie | 722446 | 4 | 05/28/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Aaron Hendrick | 1041035 | 5 | 05/28/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clifford Snow Hotchkiss | 1041367 | 1 | 05/28/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| George Harmon Moseman | 2221122 | 1 | 05/28/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Wittels | 2482677 | 2 | 05/27/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Philip Eugene McMonagle | 856142 | 1 | 05/25/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| J Armando Valencia | 1618539 | 3 | 05/25/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael David Iverson | 1333343 | 1 | 05/21/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Karl Francis Birkenfeld | 1342720 | 10 | 05/16/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |