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 |
|---|---|---|---|---|---|---|---|---|
| Michael Myers Nagel | 1967809 | 2 | 03/12/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Paul Troyke | 4342853 | 1 | 03/11/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Thomas Green | 1529224 | 1 | 03/08/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Andrew Irving | 1289123 | 9 | 03/05/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alfred Morgan Marquardt | 1289074 | 1 | 03/03/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| George Khalsa | 1094736 | 1 | 03/01/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Mark Bauer | 4680344 | 1 | 03/01/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas M Rountree | 804721 | 2 | 03/01/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Ingram Dennis | 2123535 | 1 | 02/27/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter William Ranieri | 1532974 | 1 | 02/27/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |