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 Eugene Frerichs | 1486713 | 2 | 07/14/1965 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jerry Lee Emmons | 2643105 | 1 | 07/07/1965 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Acheson Laverty | 4875386 | 15 | 07/06/1965 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Michael Palmer | 2143982 | 8 | 07/04/1965 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Alexander Kroll | 1766836 | 1 | 07/03/1965 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Acheson Laverty | 4875386 | 15 | 07/02/1965 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Warren Wayne Locke | 1102676 | 5 | 06/24/1965 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Phillip Mascari | 1029796 | 1 | 06/12/1965 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Allen Mitchell | 1788079 | 1 | 06/06/1965 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Lee Berry | 2129932 | 6 | 06/02/1965 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |