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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Duane Stein | 2833861 | 1 | 03/01/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gerard Jude Halloran | 1186943 | 13 | 02/24/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Oscar Alfonso | 1533222 | 8 | 02/23/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gregory Lydell Ashe | 5805264 | 5 | 02/17/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David John Carroll | 41689 | 21 | 02/01/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Troy D Stephens | 2886947 | 2 | 01/29/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lesley J Allison | 3251184 | 1 | 01/27/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alan Dale Gammel | 1312107 | 2 | 01/23/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steve Dee Taton | 1578300 | 14 | 01/14/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Diane Jean Soulcheck | 2095235 | 8 | 01/13/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |