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 |
|---|---|---|---|---|---|---|---|---|
| Keith Emeric Galli | 216952 | 1 | 04/17/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Melville Steuart Brown | 32720 | 2 | 04/14/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Milton Fried | 214390 | 1 | 04/12/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Albert Lyman Welsh | 2119508 | 1 | 03/13/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hal Horace Smith | 1107410 | 1 | 03/10/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Barron Fletcher | 209864 | 1 | 03/08/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Arch Stephens | 602554 | 1 | 02/28/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Otis Ehlers | 76191 | 3 | 02/25/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George Kenneth Baum | 15039 | 1 | 02/10/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Joseph Kirby | 1282742 | 1 | 02/01/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |