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 |
|---|---|---|---|---|---|---|---|---|
| Alexander John Nweeia | 2377227 | 1 | 01/09/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Samuel Dearma Craig | 1627746 | 11 | 01/09/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Randall Davis | 800257 | 15 | 01/09/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Audrey K Croft | 4178028 | 13 | 01/09/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Randall Davis | 800257 | 15 | 01/02/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David John Carroll | 41689 | 21 | 01/01/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mead Woodard | 2266418 | 9 | 01/01/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Ray Collins | 1084868 | 2 | 12/09/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Norman Downey | 1386823 | 1 | 12/03/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gerald Joseph Desimone | 2311669 | 15 | 12/01/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |