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 |
|---|---|---|---|---|---|---|---|---|
| David John Carroll | 41689 | 21 | 07/01/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Walter Semeniak | 1003275 | 2 | 06/29/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lawrence Joseph Kelly | 267125 | 3 | 06/28/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bruce Allen Perhach | 2103028 | 3 | 06/23/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Manning Carlson | 1950548 | 3 | 06/17/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Roderick Lusk Gist | 1727210 | 13 | 06/06/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jasper Dominic Vaccaro | 4087537 | 1 | 06/01/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Daniel Reiseman | 2101999 | 3 | 06/01/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lascelle Livingstone Lawrence | 1970848 | 8 | 05/27/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lance Michael Hatfield | 2577630 | 6 | 05/24/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |