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FINRA Broker Disclosures

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.

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Displaying 14,061-14,070 out of 14,975 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Anthony Parente1058250111/15/1993Employment Separation After Allegations$0.00$0.00See FINRA Report
Michael Bernard Funcheon1222519111/12/1993Employment Separation After Allegations$0.00$0.00See FINRA Report
Mary Ann Harper1338220311/05/1993Employment Separation After Allegations$0.00$0.00See FINRA Report
David Anthony Reo2113425411/05/1993Employment Separation After Allegations$0.00$0.00See FINRA Report
Stephen Feid1123322111/04/1993Employment Separation After Allegations$0.00$0.00See FINRA Report
Robert Strange Engel201169811/01/1993Employment Separation After Allegations$0.00$0.00See FINRA Report
Thomas Joseph Powers1425367410/29/1993Employment Separation After Allegations$0.00$0.00See FINRA Report
Ollie Baldwin Harris1905798410/28/1993Employment Separation After Allegations$0.00$0.00See FINRA Report
James Russell Pierce1903068410/28/1993Employment Separation After Allegations$0.00$0.00See FINRA Report
Gary Kurt Fabian2169091110/28/1993Employment Separation After Allegations$0.00$0.00See FINRA Report

14,975 Results

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