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 |
|---|---|---|---|---|---|---|---|---|
| Gary Stoner | 5140024 | 2 | 05/15/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Russell Drabold | 4167115 | 1 | 05/12/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lawrence Schneider | 1314481 | 1 | 05/10/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Joseph Root | 403716 | 2 | 05/07/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joan A Buonocore | 4294101 | 1 | 05/05/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Jonathan Duncan Fraser | 1098767 | 3 | 05/04/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Thruston Houk | 1526142 | 4 | 04/30/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Lee Dorsey | 806342 | 1 | 04/23/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marvin Lee Faison | 1957025 | 1 | 04/23/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Leo J Swietlikowski | 1101869 | 3 | 04/21/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |