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 |
|---|---|---|---|---|---|---|---|---|
| Jay Vaughn Grimm | 230330 | 2 | 05/19/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Anthony Fracchia | 212416 | 1 | 05/14/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Joseph Baum | 15023 | 1 | 04/19/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Howard Thaddeus Almo | 3840 | 1 | 03/30/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Charles Huntley | 253589 | 1 | 03/30/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bernadotte Perrin Lester | 307369 | 1 | 03/30/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ruth O Freedlander | 213569 | 1 | 03/22/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Mac Parks | 356968 | 1 | 03/12/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jonas Brittain Glenn | 223033 | 1 | 03/12/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roger Stephen Coleman | 1327557 | 1 | 03/10/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |