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 |
|---|---|---|---|---|---|---|---|---|
| Russell Lee Hartsough | 1041526 | 3 | 01/20/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Marriott Steele | 2239902 | 1 | 01/15/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stanley T Shaff | 1143514 | 1 | 01/10/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Ashby Frayser | 725637 | 2 | 01/08/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles John Arliss | 846020 | 1 | 01/05/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carlos Viera | 3007893 | 1 | 01/01/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Noel Warren | 1184073 | 1 | 01/01/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter J Seeley | 2529946 | 1 | 01/01/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Bernard Magnus | 1612497 | 2 | 01/01/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Andres Nielsen | 348092 | 4 | 01/01/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |