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 |
|---|---|---|---|---|---|---|---|---|
| John M Pacilio | 1530958 | 1 | 01/29/2018 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| G Mark Hill | 4639889 | 1 | 01/04/2018 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Roger Kroeger | 1526864 | 4 | 11/17/2017 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Barry Joseph Killian | 1640901 | 3 | 11/11/2017 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Donald Leon Heitz | 5339996 | 3 | 11/06/2017 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Christopher Brian Grenfell | 5625358 | 2 | 10/26/2017 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Michael Giokas | 1398674 | 14 | 10/11/2017 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Robert Ernest Norman | 1085698 | 2 | 09/29/2017 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Raymond Peter Petrarca | 2125202 | 1 | 09/26/2017 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Vernon David Sears | 5783551 | 6 | 09/15/2017 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |