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 |
|---|---|---|---|---|---|---|---|---|
| Frederic Scott Bocock | 24521 | 1 | 11/25/1974 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Malcolm Garity | 217960 | 2 | 11/25/1974 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Lawrence Hersh | 2351024 | 2 | 11/15/1974 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Daniel McCall | 324853 | 2 | 11/12/1974 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leonard Flomenhaft | 210069 | 2 | 11/12/1974 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Wilson Kelsey | 267334 | 3 | 11/11/1974 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Miles Arthur Bahl | 10092 | 3 | 11/08/1974 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alan Stuart Harris | 237706 | 1 | 11/07/1974 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Marshall Cobin | 49244 | 3 | 11/04/1974 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bernard Mitchell Frank | 212725 | 2 | 11/04/1974 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |