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 Joseph Rivest | 1328799 | 1 | 09/21/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Howard | 1893553 | 1 | 09/17/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Garber | 1059739 | 3 | 09/15/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Marshall Richard Spitz | 1312711 | 1 | 09/11/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Anthony Gerald Polak | 1893810 | 4 | 09/06/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Edward Disanza | 1912359 | 5 | 09/05/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Ray Magaziner | 1098594 | 1 | 09/02/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kami L Evers | 4047725 | 1 | 09/01/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin Daniel Vaughan | 710312 | 5 | 08/23/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gregory Joseph Zanetti | 1506346 | 1 | 08/20/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |