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 |
|---|---|---|---|---|---|---|---|---|
| Richard Edward Smith | 428649 | 1 | 11/18/1975 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Julian Philip Bernard | 19790 | 1 | 11/14/1975 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marvin Pheffer | 362237 | 8 | 11/12/1975 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Daniel Kushnir | 1324068 | 8 | 11/12/1975 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Collins | 51366 | 6 | 11/04/1975 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marlan Michael Merhab | 332240 | 3 | 10/31/1975 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roger Taylor Morrison | 601254 | 5 | 10/31/1975 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Roger Engemann | 2145135 | 1 | 10/29/1975 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Lowell Goldman | 224369 | 3 | 10/16/1975 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gordon Frank Engel | 201133 | 3 | 10/10/1975 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |