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 |
|---|---|---|---|---|---|---|---|---|
| David Graham Baird | 10455 | 2 | 10/11/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stanley Warren Grossman | 231039 | 5 | 10/02/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Roland Hobert | 805680 | 18 | 10/01/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Henry Arnold Hale | 233797 | 4 | 10/01/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Shapiro | 1177642 | 3 | 10/01/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Gibson Crossman | 57736 | 3 | 09/28/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas John Vanyo | 453487 | 4 | 09/25/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alvin Dern | 65894 | 3 | 09/25/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| June Willis Risley | 808080 | 1 | 09/18/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Henry Bauer | 1008028 | 2 | 09/17/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |