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 |
|---|---|---|---|---|---|---|---|---|
| Ruth Isabel Caughey | 1959439 | 1 | 06/17/1964 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Wayne Forgy | 2229227 | 1 | 06/11/1964 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jerold Thompson Wood | 1335698 | 1 | 05/27/1964 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Fradella | 212429 | 1 | 05/27/1964 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Philip Bianco | 20952 | 5 | 05/19/1964 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Alfred Rocker | 1747939 | 1 | 05/11/1964 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Harold Moore | 2584563 | 1 | 05/07/1964 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Cleo Dunlap | 1984686 | 15 | 05/03/1964 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Cleo Dunlap | 1984686 | 15 | 05/03/1964 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Alcide Lamothe | 1471476 | 2 | 04/24/1964 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |