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 |
|---|---|---|---|---|---|---|---|---|
| Roland George Auclair | 1545814 | 2 | 02/06/1984 | Customer Dispute | Award / Judgment | $0.00 | $6,606.15 | See FINRA Report |
| James Wallace Woods | 734272 | 42 | 02/03/1984 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Harvey Stuart Berk | 705380 | 2 | 02/01/1984 | Customer Dispute | Settled | $73,122.00 | $0.00 | See FINRA Report |
| Richard Douglas Heider | 1098980 | 2 | 02/01/1984 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Roland W Killcreas | 1045796 | 4 | 01/30/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roland W Killcreas | 1045796 | 4 | 01/30/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Donald John Hannis | 236047 | 3 | 01/25/1984 | Customer Dispute | Award / Judgment | $150,000.00 | $25,000.00 | See FINRA Report |
| Fred Berens | 18877 | 7 | 01/20/1984 | Customer Dispute | Award / Judgment | $0.00 | $2,500.00 | See FINRA Report |
| John Francis Newsholme | 1182756 | 5 | 01/16/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Stafford | 433163 | 9 | 01/13/1984 | Customer Dispute | Settled | $535,000.00 | $0.00 | See FINRA Report |