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 |
|---|---|---|---|---|---|---|---|---|
| Lloyd Mark Johnston | 1626695 | 23 | 09/08/2004 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Sheila Diane Schaldach Miller | 1271044 | 2 | 09/08/2004 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Quentin Frey | 1367423 | 4 | 08/19/2004 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Michael Atterbury Connor | 3220307 | 2 | 08/11/2004 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Mark Arthur Welch | 2085171 | 4 | 05/24/2004 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Veronica Cordova | 3043875 | 2 | 04/26/2004 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Quentin Frey | 1367423 | 4 | 04/19/2004 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Scott Thomas Reda | 1320711 | 5 | 03/05/2004 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| David James Shaw | 2575300 | 4 | 01/13/2004 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Cliff van Ittersum | 1060059 | 2 | 10/15/2003 | Investigation | $0.00 | $0.00 | See FINRA Report |