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 |
|---|---|---|---|---|---|---|---|---|
| George Russell Shannon | 710581 | 2 | 04/28/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Vincent William Ruddy | 1003750 | 1 | 04/25/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David William Vela | 1984682 | 3 | 04/25/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Victor Mortensen | 1371803 | 6 | 04/25/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lee Wallace Smith | 1638896 | 4 | 04/20/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James George Shay | 1029861 | 2 | 04/20/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew Michael Jacob | 1264724 | 5 | 04/17/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Raymond Anthony Rodriguez | 402397 | 5 | 04/07/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dick Lam | 300876 | 3 | 04/06/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Donald Robert Fox | 1398035 | 3 | 04/01/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |