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 |
|---|---|---|---|---|---|---|---|---|
| James Langdon Spivey | 432380 | 1 | 09/30/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 09/30/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harry Gliksman | 223138 | 11 | 09/19/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Daniel Spina | 432195 | 5 | 08/23/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Eugene Fisher | 208661 | 2 | 08/07/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Bennett Ryan | 1017804 | 1 | 07/01/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Polk Leidy | 306087 | 2 | 06/09/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Morton Kantrowitz | 1021206 | 8 | 04/18/1969 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Morton Goldfield | 224226 | 1 | 04/14/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Maurice Altshuler | 4133 | 2 | 04/01/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |