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 |
|---|---|---|---|---|---|---|---|---|
| Johann Wilhelm Wiese | 2164274 | 1 | 07/06/2001 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Randolph Clayton Thompson | 1547123 | 3 | 06/16/2001 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Michael Richard Rosenberg | 1108878 | 1 | 12/04/2000 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Mark Allen Dillon | 1440226 | 2 | 10/20/2000 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| David Eric Duyst | 1794774 | 1 | 09/18/2000 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Shan Michael Hefley | 1320133 | 3 | 05/09/2000 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Donald Lee Clark | 1858476 | 1 | 04/05/2000 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Mitchel Werther | 2303289 | 2 | 08/19/1999 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Kim Eugene Garrett | 2238717 | 2 | 02/12/1999 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Kim Eugene Garrett | 2238717 | 2 | 01/22/1999 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |