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 |
|---|---|---|---|---|---|---|---|---|
| Carl Joseph Legaspi | 1067812 | 2 | 09/04/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Malin Forrest Jones | 1221667 | 1 | 09/01/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Michael Foley | 210582 | 1 | 08/28/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Wetheral Eves | 203348 | 1 | 08/20/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Bennett Lovercheck | 828651 | 2 | 08/16/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Jay Williams | 4086335 | 2 | 08/05/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter Thompson Higgins | 245408 | 7 | 08/01/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Owens Jones | 2058354 | 1 | 07/14/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Maxwell Murray van de Velde | 452847 | 1 | 07/14/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Raymond Aldo Mittino | 1238529 | 3 | 06/29/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |