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 |
|---|---|---|---|---|---|---|---|---|
| Pamela Larson | 2595527 | 1 | 08/01/1993 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Derek Morris | 1616953 | 39 | 07/30/1993 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Donald Wayne Hughes | 2188531 | 1 | 07/02/1993 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jacqueline Hefelfinger | 2273817 | 4 | 07/01/1993 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Lynn Rose | 4323440 | 4 | 07/01/1993 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gwendolyn Pudim Tibbals | 1093467 | 14 | 06/18/1993 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kathleen M Carroll | 2546839 | 4 | 06/09/1993 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alberto Arturo Fritz | 2158296 | 15 | 06/08/1993 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Vogel | 4717260 | 1 | 05/28/1993 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Emanuel Ward | 2342656 | 1 | 05/03/1993 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |