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 |
|---|---|---|---|---|---|---|---|---|
| Karl Wilton Harman | 1296284 | 4 | 07/25/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Larry Anthony Marshall | 702019 | 1 | 07/23/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Cabala | 807485 | 1 | 07/17/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Bernardino | 1449417 | 1 | 07/17/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jerome Francis Plumberg | 3138776 | 1 | 07/12/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Hunter Bowman | 724120 | 2 | 07/06/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Dodson Crissey | 2870703 | 4 | 07/05/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Frederick Haigh | 3109399 | 1 | 07/01/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Thruston Houk | 1526142 | 4 | 07/01/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Kilburn Asselstine | 1718559 | 1 | 07/01/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |