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 |
|---|---|---|---|---|---|---|---|---|
| Raymond Neil Bergen | 2218378 | 1 | 12/16/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Leonard Cerasia | 43841 | 2 | 12/10/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Laurence Eric Zeldner | 1055539 | 3 | 12/10/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William David Medlock | 1127257 | 4 | 12/10/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Anthony Arvanites | 706347 | 4 | 12/08/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Robert Worrall III | 4108084 | 2 | 12/07/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Donald M Neidhardt | 5668173 | 1 | 12/01/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Martin Piff | 4565113 | 1 | 11/25/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Warner Sampson Tetreau | 1110440 | 1 | 11/24/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gerald Francis McKeever | 328658 | 1 | 11/19/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |