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 |
|---|---|---|---|---|---|---|---|---|
| Lori E Slater | 2478691 | 4 | 09/09/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas C Rodenberg | 2934771 | 12 | 09/01/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip Joseph de Rosa | 2034386 | 5 | 08/26/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kathy A Watson | 4966072 | 2 | 08/15/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Brian Hexem | 2143106 | 4 | 08/10/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Albert Ralph Miller | 1940971 | 4 | 08/05/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Curtis Medairy | 1219555 | 4 | 08/03/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Anthony Missildine | 336750 | 1 | 07/28/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Vincent Andrew Gorman | 2962667 | 2 | 07/01/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gerard Jude Halloran | 1186943 | 13 | 07/01/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |