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 |
|---|---|---|---|---|---|---|---|---|
| Herbert Garrett Frey | 214237 | 19 | 01/27/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Vaughn Gardinier | 217655 | 5 | 01/24/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Candace King Weir | 269796 | 2 | 01/23/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Carl Naso | 1547024 | 4 | 01/23/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eugene Louis Mauro | 1277777 | 4 | 01/05/1978 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Arthur Rafkind | 1797087 | 5 | 01/05/1978 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Royal Willis Carson | 41939 | 1 | 01/04/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Anthony Podesta | 1976210 | 1 | 01/03/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Augustus Armand La Chance | 1424160 | 1 | 01/01/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Melvyn Stanley Glass | 222774 | 5 | 01/01/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |