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 |
|---|---|---|---|---|---|---|---|---|
| Joseph William Hughes | 1996775 | 2 | 04/23/2008 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Karen Sue Fisher | 2212955 | 3 | 04/18/2008 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Vincent John Miller | 1865798 | 2 | 02/07/2008 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Richard Lee Roorda | 1172201 | 4 | 04/15/2007 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Alexander Wehr | 1911038 | 2 | 12/06/2006 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Carolyn Sue Callahan | 4115887 | 2 | 11/23/2005 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Simon Livingston | 3258791 | 2 | 11/12/2005 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Kevin John Lent | 2367331 | 4 | 11/07/2005 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Vincent Marc Rinaldi | 1935401 | 3 | 10/13/2005 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Joseph Dale Frost | 1003962 | 2 | 09/29/2005 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |