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 |
|---|---|---|---|---|---|---|---|---|
| William Robert Friese | 214831 | 3 | 03/15/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Alan Vinograd | 821213 | 1 | 03/13/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Milyard Connors | 4338621 | 1 | 03/13/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Scott Fitzgerald | 209047 | 4 | 03/12/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Robert Friese | 214831 | 3 | 03/09/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Mason Benham | 18048 | 2 | 03/08/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brock R McNerney | 1910595 | 1 | 03/07/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Joseph Flaherty | 209331 | 2 | 03/06/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hubert Dale Folsom | 210750 | 2 | 02/22/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Peter Mikel | 839497 | 7 | 02/14/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |