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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Pascal de Siervo | 1148251 | 1 | 05/06/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nelson Gatch Powers | 2120913 | 9 | 05/04/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Arthur Winker | 2598508 | 1 | 05/02/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Bruce Dreyer | 1007249 | 1 | 04/28/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Gregory Hartin | 719149 | 1 | 04/27/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Michael Morgan | 1543348 | 3 | 04/24/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Wayne Hayes | 1572344 | 2 | 04/24/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Gillespie | 854590 | 2 | 04/21/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Milton Doukakis | 4983621 | 1 | 04/16/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Eugene Swigart | 1289378 | 1 | 04/15/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |