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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Charles Ofarrell | 1302300 | 6 | 01/02/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jody James Lafont | 1832378 | 1 | 01/01/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Nelson Sperling | 1230664 | 1 | 12/31/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Renee Sprinthall | 1541117 | 4 | 12/15/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kathleen Helen Williams | 1014152 | 2 | 12/15/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tatiana Michelle Rose | 2228922 | 1 | 12/10/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Rupinder Kaur Somal | 1708398 | 2 | 12/09/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Vivienne Karin Schleu | 2670443 | 3 | 12/08/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Robert Burke | 1371029 | 2 | 12/07/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Edward Mohr | 1339154 | 1 | 12/05/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |