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 |
|---|---|---|---|---|---|---|---|---|
| Richard Eugene Lewis | 1730116 | 1 | 01/01/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Edward Leonard | 2129667 | 1 | 01/01/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jill Christine Farley | 2086511 | 1 | 12/26/1968 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sheila Llynn Jenne | 2848720 | 1 | 12/19/1968 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Elliot Behar | 808506 | 1 | 12/17/1968 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stuart Charles Sanderson | 2239449 | 1 | 12/09/1968 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gloria Rosen | 1002947 | 5 | 12/09/1968 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Alan Palena | 355423 | 1 | 12/08/1968 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Byron Kent Freeman | 2490710 | 4 | 12/03/1968 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Black Collister | 1348891 | 1 | 12/02/1968 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |