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 Roscoe Durkee | 4097796 | 3 | 12/11/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark David Carpenter | 2758090 | 1 | 12/11/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Larry Griffin | 2299358 | 2 | 12/11/2014 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| William L Rouse | 4262820 | 2 | 12/10/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| George Michael Scafidi | 6711370 | 2 | 12/10/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Zaven Andrew Yarumian | 1124759 | 4 | 12/10/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stacey Katania Cummings | 2251647 | 1 | 12/10/2014 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jacqueline Hanson Aime | 2903017 | 5 | 12/09/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert A Setzer | 5549197 | 2 | 12/09/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Herbert J Rikeman | 6784357 | 1 | 12/09/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |