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 |
|---|---|---|---|---|---|---|---|---|
| Robert Edward Hughes | 1544224 | 1 | 11/18/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Ralph Lehe | 1817009 | 2 | 11/17/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Valerie Kendrick | 1579360 | 2 | 11/17/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Austin Bailey | 1085215 | 10 | 11/01/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Allen Staggs | 1774889 | 1 | 11/01/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Michael Palmer | 2143982 | 8 | 10/21/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Raymond Huffman | 1112755 | 1 | 10/11/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nelson Gatch Powers | 2120913 | 9 | 10/05/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Barbara Ellen Arp | 1233437 | 1 | 10/04/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Anthony Carrillo | 1407538 | 3 | 10/01/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |