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 |
|---|---|---|---|---|---|---|---|---|
| John Rick Kaleh | 1611924 | 2 | 09/27/2002 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Wanda Pittman Sears | 2214419 | 29 | 09/24/2002 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Joseph Ossip Lazerson | 2205091 | 1 | 09/19/2002 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Bruce Donald England | 201257 | 4 | 07/17/2002 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Kenneth William Rumbaugh | 1364691 | 4 | 05/06/2002 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Emanuel Louis Sarris | 1363059 | 13 | 04/09/2002 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Gregory Russell Brown | 2233684 | 13 | 04/09/2002 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Dwight Houston Carter | 1405029 | 2 | 03/26/2002 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Pietro Joseph Passalacqua | 2299676 | 4 | 12/18/2001 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Isaac N Mayanja | 2977439 | 2 | 12/10/2001 | Investigation | $0.00 | $0.00 | See FINRA Report |