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 Ray Tripp | 3127900 | 1 | 10/01/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David A Smith | 5706472 | 1 | 09/24/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Walter Somero | 1321539 | 1 | 09/08/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Eugene Benson | 1965537 | 5 | 08/30/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Eugene Benson | 1965537 | 5 | 08/22/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Michael Palmer | 2143982 | 8 | 08/18/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frank Andrew Ribar | 1312051 | 1 | 08/11/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Malachi Fullard | 2108959 | 3 | 07/28/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Allen Frumkes | 215230 | 4 | 07/24/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark H Levy | 1333144 | 2 | 07/19/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |