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 |
|---|---|---|---|---|---|---|---|---|
| Karen Louise Bowen | 1085830 | 1 | 03/16/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carol Ann Reynolds | 1144897 | 1 | 03/16/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jim Lee Chesley | 1393857 | 3 | 03/14/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Lee Hicks | 1749015 | 2 | 03/11/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Francis Keenan | 1025851 | 3 | 03/10/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Jay Vogel | 1020967 | 1 | 03/09/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Myra Yvonne Cannon | 1332450 | 1 | 03/09/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Morris Lloyd | 1631068 | 1 | 03/08/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Francis Radtke | 1006217 | 1 | 03/06/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Joseph Solon | 4009274 | 1 | 03/04/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |