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 |
|---|---|---|---|---|---|---|---|---|
| William Michael Wheelen | 1374477 | 8 | 08/20/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles William Baum | 826116 | 2 | 08/19/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Edward Guard | 1055460 | 4 | 08/19/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Walter Clinkscales Hughes | 1415122 | 2 | 08/18/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Troy Kaper | 1813411 | 1 | 08/15/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Philip Andrew Moroneso | 835131 | 1 | 08/14/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Alfred Bersell | 2287076 | 1 | 08/11/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carol Craig Bower | 1600131 | 1 | 08/10/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William A Sasse | 1194437 | 1 | 08/07/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Thomas Soby | 2539367 | 4 | 08/05/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |