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 |
|---|---|---|---|---|---|---|---|---|
| Steven William Riger | 808896 | 2 | 02/13/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Herbert John Gee | 219221 | 11 | 02/13/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Joseph Gallagher | 216884 | 8 | 02/10/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Elmer Irving Paull | 358275 | 3 | 02/08/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William George Barham | 12438 | 1 | 02/02/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Milton Seltzer | 418665 | 2 | 02/01/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Lewis Gailer | 216464 | 1 | 01/30/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Herbert Garrett Frey | 214237 | 19 | 01/27/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Vaughn Gardinier | 217655 | 5 | 01/24/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Candace King Weir | 269796 | 2 | 01/23/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |