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 |
|---|---|---|---|---|---|---|---|---|
| Alfred Richard Ernst | 202081 | 1 | 07/18/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Edward Dwyer | 1479446 | 5 | 07/16/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lawrence Robert O'Callaghan | 1121186 | 1 | 07/11/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Allan William Moskowitz | 2103510 | 1 | 07/10/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Alan Frazin | 4660444 | 1 | 07/09/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Damian McKenzie | 2180710 | 5 | 07/05/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert A Kumpa | 276570 | 1 | 07/04/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jack Shelby Friel | 849659 | 2 | 07/03/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Betty Jean Jones | 840714 | 1 | 07/03/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lavelle Knight | 811522 | 2 | 07/01/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |