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 Franklin Beck | 1729263 | 4 | 07/19/1999 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Ugwuogo Onwuka | 2087673 | 2 | 06/18/1998 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Douglas Byron Foster | 1256409 | 4 | 02/20/1998 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Gerald Michael Materne | 1326880 | 1 | 01/30/1997 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Michael Axelrod | 1159149 | 11 | 03/11/1996 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Lindsey Scott Ferguson | 1997373 | 2 | 09/12/1995 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Bruce Harvey Olephant | 1219613 | 5 | 10/14/1994 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Wade Whitcraft | 719854 | 8 | 11/30/-0001 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Steven Michael Pelton | 869289 | 1 | 11/30/-0001 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Alan Carl Wolman | 2006916 | 5 | 11/30/-0001 | Investigation | $0.00 | $0.00 | See FINRA Report |