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 |
|---|---|---|---|---|---|---|---|---|
| John Roy Boyer | 1296554 | 2 | 12/01/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Vaughn Gardinier | 217655 | 5 | 11/30/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Otto Schreiber | 839937 | 5 | 11/29/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Aloysius Baker | 10797 | 2 | 11/23/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Robert Frazier | 213362 | 3 | 11/16/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Joseph Bell | 17393 | 2 | 11/15/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Norman William Vertrees | 454413 | 2 | 11/13/1979 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Karl John Gerlach | 221193 | 2 | 11/13/1979 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Benedict Fox | 212171 | 6 | 11/13/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Francis Valenti | 2597769 | 1 | 11/02/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |