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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Clay Holmes | 824098 | 3 | 01/18/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael David Johnson | 1466302 | 2 | 01/15/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Stephen Buciak | 1394350 | 3 | 01/14/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Dale Herr | 1486926 | 1 | 01/11/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Charles Capezuto | 1348854 | 4 | 01/09/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Lee Chin | 1475752 | 4 | 01/04/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lee William Montgomery | 722788 | 1 | 01/03/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nickolas J Ballas | 1319931 | 1 | 12/26/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Howard Marcus | 734017 | 11 | 12/14/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lawrence Jay Agler | 1476297 | 1 | 12/04/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |