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 Stephen Putnam | 369059 | 7 | 05/03/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Vedros | 453952 | 10 | 05/03/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Regina Vitti | 1449287 | 1 | 05/03/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Terry Brent Dolley | 69653 | 3 | 04/25/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eugene Louis Mauro | 1277777 | 4 | 04/24/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Arthur Rafkind | 1797087 | 5 | 04/24/1979 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Arthur Rafkind | 1797087 | 5 | 04/24/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Arthur Rafkind | 1797087 | 5 | 04/24/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Arthur Rafkind | 1797087 | 5 | 04/24/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Aloysius Barrett | 13422 | 1 | 04/23/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |