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 |
|---|---|---|---|---|---|---|---|---|
| Walter Semeniak | 1003275 | 2 | 10/06/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas C Rodenberg | 2934771 | 12 | 10/01/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Alan Oster | 4559020 | 1 | 09/27/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Leo Jankowski | 1918121 | 2 | 09/27/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Craig Mercer | 3141886 | 2 | 09/20/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy Stuart Brown | 4315801 | 2 | 09/08/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Russell Jeffrey Burns | 860745 | 3 | 09/01/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David John Carroll | 41689 | 21 | 09/01/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David John Carroll | 41689 | 21 | 09/01/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Veronica Frances Vale | 1137058 | 3 | 09/01/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |