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 |
|---|---|---|---|---|---|---|---|---|
| Eugenio Salvatore Chierici | 1125376 | 1 | 12/23/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Louis Theodore Alexander | 1086077 | 6 | 12/19/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard William Steiniger | 1243003 | 3 | 12/18/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Townsend Tanner | 824989 | 2 | 12/14/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Donald Frederic Martin | 1059028 | 1 | 12/11/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Allen Roberts | 1199811 | 1 | 12/07/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roger Naoki Matsui | 1672347 | 1 | 12/07/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Scott Simpson | 719367 | 12 | 12/05/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Garrett V H Seligman | 842041 | 1 | 12/05/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Edwin Lumpkin | 1013447 | 2 | 12/04/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |