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 Stephen Putnam | 369059 | 7 | 03/27/1980 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Stephen Putnam | 369059 | 7 | 03/20/1980 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Frederick Wadsworth | 456251 | 6 | 03/20/1980 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roger Geissler | 1231100 | 2 | 03/14/1980 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stella Josephine Ford | 211125 | 1 | 03/14/1980 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lee Alan Korhumel | 274012 | 2 | 03/10/1980 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Fred George Werner | 830196 | 1 | 03/01/1980 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Francis Hunnewell Williams | 467699 | 3 | 02/29/1980 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Stephen Putnam | 369059 | 7 | 02/22/1980 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Clair Gumbel | 1087154 | 9 | 02/21/1980 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |