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 |
|---|---|---|---|---|---|---|---|---|
| Richard Andrew Lee | 2768039 | 7 | 08/27/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Terry Lee Tillotson | 2990173 | 17 | 08/15/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anuradha Sarin | 3131023 | 3 | 08/08/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Ray Johnson | 5054648 | 3 | 08/07/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kathleen M Carroll | 2546839 | 4 | 08/06/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip Edwin Ripley | 1105205 | 9 | 08/06/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Derek Morris | 1616953 | 39 | 08/06/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Charles Borland | 1004997 | 11 | 07/26/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carl Gene Noble | 1346632 | 1 | 06/13/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Mitchell | 1292487 | 8 | 06/13/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |