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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Ray Broadwater | 31031 | 1 | 10/26/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Michael Krantz | 1275681 | 3 | 10/25/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eugene Lee Neidiger | 345719 | 1 | 10/19/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John G Mergner | 332239 | 5 | 10/17/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Watterson Miller | 1141548 | 3 | 10/16/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Graham Baird | 10455 | 2 | 10/11/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stanley Warren Grossman | 231039 | 5 | 10/02/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Roland Hobert | 805680 | 18 | 10/01/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Henry Arnold Hale | 233797 | 4 | 10/01/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Shapiro | 1177642 | 3 | 10/01/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |