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 |
|---|---|---|---|---|---|---|---|---|
| Charles D Waters | 4491445 | 2 | 12/18/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Walter Easton | 1045661 | 1 | 11/28/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Harold Willard Cole | 1200347 | 3 | 11/15/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Anthony Saso | 1396228 | 1 | 11/14/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Hugh Henry | 1827145 | 2 | 11/06/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carl Joseph Legaspi | 1067812 | 2 | 09/11/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edmund Frank Bartylla | 14206 | 1 | 08/30/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Paul Ellis | 200400 | 3 | 08/10/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Ovila Kissik | 1093395 | 1 | 08/02/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Juan Maldonado | 1629020 | 1 | 06/06/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |