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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Edward Westlake | 2640466 | 9 | 07/25/2000 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Leopold Garcia | 2462026 | 9 | 07/10/2000 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Arthur MacE | 315839 | 2 | 07/01/2000 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alan J Rutchik | 4175495 | 1 | 07/01/2000 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kathleen A Malik | 1311891 | 1 | 06/29/2000 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dayna Rose Byrd-Mattress | 2632282 | 3 | 06/15/2000 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy Scott Shear | 2174281 | 9 | 06/14/2000 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Michael McCauley | 3178068 | 10 | 06/06/2000 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Lee Carpenter | 2199138 | 24 | 06/03/2000 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Edwards Deinlein | 1806608 | 10 | 06/01/2000 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |