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 |
|---|---|---|---|---|---|---|---|---|
| Vincent Joseph Maria Houben | 1192254 | 1 | 01/04/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Barry Julius Berman | 1627913 | 1 | 01/01/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harold George Trisch | 1489087 | 1 | 01/01/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Leory Knipp | 272469 | 1 | 11/24/1970 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Henry Bugen | 34838 | 1 | 11/16/1970 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth La Cour Kramer | 274856 | 1 | 11/12/1970 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Arthur Rosenbloom | 404637 | 1 | 11/12/1970 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Joseph Bell | 17393 | 2 | 10/01/1970 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James William Ivey | 255754 | 1 | 10/01/1970 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Edward Griffin | 229954 | 2 | 09/11/1970 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |