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 |
|---|---|---|---|---|---|---|---|---|
| Kathleen Elizabeth Apodaca | 4525970 | 1 | 06/30/1973 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Melvin Jack Loeser | 311636 | 3 | 06/01/1973 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Maurice Altshuler | 4133 | 2 | 05/25/1973 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Waterman Pettit | 361950 | 4 | 01/02/1973 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Karen Ruth Thompson | 6192064 | 1 | 05/03/1972 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John James Delany | 64397 | 1 | 04/01/1972 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Harold Lee Gilbert | 812961 | 2 | 07/16/1970 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Noel Kenneth Edwards Sr | 1436002 | 4 | 02/01/1970 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Penny Marie Watson | 2016864 | 2 | 10/01/1968 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Keith Allen Bjerk | 1562316 | 5 | 04/13/1967 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |