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 |
|---|---|---|---|---|---|---|---|---|
| Arnold Thomas Dunn | 1010254 | 1 | 11/01/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Edward Arnold | 1244734 | 6 | 10/29/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Randal Douglas Hankins | 861094 | 2 | 10/29/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Karl Horstman | 1236433 | 1 | 10/28/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Harmon McKim Wertz | 1047502 | 1 | 10/26/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Lewis Wilson | 1693570 | 5 | 10/26/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roger P La Voie | 303844 | 3 | 10/23/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Donald Allen Bush | 1573829 | 1 | 10/21/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Grant Douglas Lund | 1442047 | 1 | 10/19/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John West Barton | 2480428 | 1 | 10/19/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |