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 |
|---|---|---|---|---|---|---|---|---|
| Benjamin Andrew Flaim | 1214017 | 1 | 04/20/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Evan Block | 2296448 | 1 | 04/20/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Chris Christ | 1251548 | 4 | 04/19/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Stephen Pateri | 1828609 | 2 | 04/19/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Roy Hourigan | 1061577 | 1 | 04/18/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Wilfred Waldron | 4290312 | 1 | 04/17/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dean Obrien Buell | 1353136 | 1 | 04/16/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kurt Filipovitch | 4063741 | 2 | 04/13/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark L Anderson | 2400659 | 1 | 04/12/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Linda Haughn | 2800235 | 1 | 04/10/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |