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 |
|---|---|---|---|---|---|---|---|---|
| Ward E Gorham | 2922629 | 4 | 10/05/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Roy Neal | 1248515 | 5 | 10/01/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kerry John Mangano | 1059546 | 5 | 10/01/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Stenning Miller | 335078 | 4 | 09/09/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Stephen Walls | 1105863 | 14 | 09/08/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Gene Leckington | 3018957 | 2 | 09/01/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Wanda Elaine Warsinski | 871458 | 2 | 08/25/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Cynthia Sherman | 1759229 | 1 | 08/16/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Earl Charles Smith | 1004183 | 4 | 08/10/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Alan Joseph | 262273 | 2 | 08/08/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |