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 |
|---|---|---|---|---|---|---|---|---|
| David Richard Beck | 16136 | 1 | 11/17/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Samuel Nesbitt Evins | 203357 | 1 | 11/17/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James C Bradford Jr | 28198 | 2 | 11/14/1972 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Tovia Joseph Widman | 466236 | 1 | 11/09/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Alden Engelbach | 201177 | 5 | 10/16/1972 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Alden Engelbach | 201177 | 5 | 10/16/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Lawrence Hersh | 2351024 | 2 | 10/15/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joel Lawrence Halpern | 234602 | 11 | 10/13/1972 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Waterman Pettit | 361950 | 4 | 10/13/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leonard Flomenhaft | 210069 | 2 | 09/26/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |