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 |
|---|---|---|---|---|---|---|---|---|
| Loren Dennis Price | 1337605 | 1 | 12/13/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Cleo Dunlap | 1984686 | 15 | 11/17/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roy Ernest Rizzo | 1496287 | 1 | 11/01/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Francis William Preston | 2854334 | 1 | 10/30/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bennie Maria Rhoden | 1376240 | 1 | 10/28/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Paul Ellis | 200400 | 3 | 10/19/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Allen Smith | 1823588 | 1 | 10/11/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Michael Palmer | 2143982 | 8 | 10/09/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carl Joseph Legaspi | 1067812 | 2 | 09/04/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Malin Forrest Jones | 1221667 | 1 | 09/01/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |