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 |
|---|---|---|---|---|---|---|---|---|
| James Edward Diamond | 67053 | 1 | 01/01/1975 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Alfons Kallman | 263465 | 6 | 01/01/1975 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nelson Behar | 1416528 | 1 | 01/01/1975 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald Sanford Hodes | 247325 | 3 | 12/31/1974 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Fletcher Shuck | 422862 | 1 | 12/20/1974 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roger Taylor Morrison | 601254 | 5 | 12/19/1974 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Basil Graham | 227179 | 5 | 12/18/1974 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jerold S Nowak | 1317893 | 2 | 12/06/1974 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bryant Forrest Thompson | 1127521 | 8 | 12/01/1974 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Wilfred Raymond George | 220952 | 1 | 11/29/1974 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |