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 |
|---|---|---|---|---|---|---|---|---|
| Robert Joe Bachman | 715193 | 2 | 01/17/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Andrew Kalland | 1246180 | 4 | 01/16/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Mitchell Lefkowitz | 1170503 | 9 | 01/12/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gregory Arthur Fisher | 1172607 | 21 | 01/11/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Louis Rupnick | 1362040 | 2 | 01/05/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Pierre Grant | 1133740 | 1 | 01/02/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Irvin Henry Rosenfeld | 1683547 | 1 | 12/29/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Peter Richard Roberti | 1743804 | 4 | 12/15/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Daniel Alldredge | 1535072 | 1 | 12/12/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dorothea Schultz | 872718 | 2 | 12/11/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |