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 |
|---|---|---|---|---|---|---|---|---|
| Antonio Aguilar | 4326772 | 1 | 05/19/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip Isaac Frank | 4033599 | 2 | 05/11/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Maura Elizabeth Gill | 4253004 | 1 | 05/06/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Vincent John Grucci | 1602600 | 28 | 04/20/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kevin Todd Steigerwalt | 2709545 | 2 | 04/16/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Glen Cline | 2120419 | 1 | 04/05/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Edward Spriggs | 1616617 | 2 | 04/01/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Howard Noel Herring | 1725698 | 2 | 03/31/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Horace Stevenson Nash | 4345721 | 2 | 03/26/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Allan Broten | 1006678 | 10 | 03/18/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |