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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Kent Bowser | 1581343 | 4 | 08/12/2003 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Peter Jude Lencki | 4435920 | 1 | 07/23/2003 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Charles Stone Clark | 861962 | 5 | 07/11/2003 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Benton Leslie Moyer | 2815375 | 1 | 06/27/2003 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Herbert John Gee | 219221 | 11 | 06/17/2003 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Leslie Charles Quick III | 1079748 | 2 | 03/24/2003 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Thomas M Kenny | 2395390 | 1 | 01/22/2003 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Mohammad Saeed Rahman | 1246707 | 4 | 12/01/2002 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Neil Allen Swain | 2446916 | 2 | 11/21/2002 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Richard Bruce Morgan | 340041 | 5 | 11/04/2002 | Investigation | $0.00 | $0.00 | See FINRA Report |