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 |
|---|---|---|---|---|---|---|---|---|
| James Richard Wilson | 2705449 | 1 | 06/17/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Ross Tintinger | 2152954 | 1 | 06/10/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Williams | 1808761 | 1 | 06/09/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frank Ferrante | 1657755 | 1 | 05/29/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Michael Palmer | 2143982 | 8 | 05/29/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Eugene Elliott | 1302344 | 1 | 05/28/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William David Medlock | 1127257 | 4 | 05/22/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Swirles Rossi | 1174792 | 2 | 05/17/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Barbara Hilton Cummings | 2609938 | 1 | 05/08/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Edmund Messick | 1316818 | 1 | 05/07/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |