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 |
|---|---|---|---|---|---|---|---|---|
| Michael Joseph Rooney | 1828399 | 2 | 01/16/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Victor Gary Lowatchie | 2203004 | 2 | 01/10/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Sansone | 2012382 | 2 | 01/01/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Raymond Gagnon | 1026462 | 1 | 01/01/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Osvaldo Ralph Puccinelli | 1372737 | 1 | 12/24/1960 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kim Kent Koterman | 2301243 | 1 | 11/19/1960 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Lanham Ferris | 206848 | 7 | 11/11/1960 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Seymour Baden | 1710182 | 1 | 10/30/1960 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Gladwood Webb | 1077772 | 2 | 10/29/1960 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marvin Henry Smith | 1909922 | 1 | 10/20/1960 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |