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 |
|---|---|---|---|---|---|---|---|---|
| Helen Grace Caldwell | 1957501 | 7 | 11/06/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael John Bishop | 1385185 | 2 | 11/02/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Joseph Lucadamo | 1133084 | 29 | 10/29/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Patrick Foley | 1425205 | 3 | 10/28/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nicholas Phillip Howard | 1670390 | 1 | 10/26/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Alan Gaudreau | 1645356 | 5 | 10/13/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Dean Pascuzzi | 711548 | 24 | 10/09/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Raymond Minicucci | 1321150 | 4 | 10/09/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shih-Hua Liu | 1659408 | 6 | 10/08/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mohammad Saeed Rahman | 1246707 | 4 | 10/05/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |