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 |
|---|---|---|---|---|---|---|---|---|
| William Edward Arnold | 1244734 | 6 | 02/24/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Harold Louis Pierce | 822849 | 1 | 02/14/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Anthony Maas | 1590640 | 4 | 02/12/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Anthony Maas | 1590640 | 4 | 02/12/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mariaelena Villarreal | 1414089 | 1 | 02/11/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Francis Kurtz | 4647469 | 2 | 02/07/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cedric Jean Richardson | 2936864 | 5 | 02/01/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cedric Jean Richardson | 2936864 | 5 | 02/01/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Anthony Testa | 1233216 | 3 | 01/29/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nelson Gatch Powers | 2120913 | 9 | 01/27/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |