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 |
|---|---|---|---|---|---|---|---|---|
| Leonard Charles Brown | 3079259 | 3 | 11/24/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tillman Pugh | 1217596 | 4 | 11/22/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Bruce Averill | 1606921 | 1 | 11/20/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alan Hastings Robinson | 2055995 | 1 | 11/17/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Dean Bronfman | 836754 | 4 | 11/16/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dennis Michael Duval | 1024573 | 1 | 11/15/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Sarkis Essian | 2855737 | 1 | 11/13/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph George Kathrein | 1157401 | 6 | 11/12/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cecilia Mary Smith | 1196095 | 1 | 11/05/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard William Steiniger | 1243003 | 3 | 11/05/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |