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 |
|---|---|---|---|---|---|---|---|---|
| Robert Allen Haupt | 239909 | 2 | 02/12/1976 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Robert Martin | 2263388 | 2 | 02/06/1976 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Conti | 52743 | 4 | 02/01/1976 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Toby Seymour Isler | 255575 | 1 | 01/01/1976 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leslie Monroe Pollack | 365206 | 1 | 01/01/1976 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Ralph Elerding | 1005668 | 1 | 01/01/1976 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Fred Berens | 18877 | 7 | 12/31/1975 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Joseph Hirschfeld | 246785 | 1 | 12/29/1975 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leo Glassman | 222833 | 3 | 12/23/1975 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Wesley Williams | 501598 | 1 | 12/21/1975 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |