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 |
|---|---|---|---|---|---|---|---|---|
| Peter Alden Engelbach | 201177 | 5 | 10/16/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Lawrence Hersh | 2351024 | 2 | 10/15/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Waterman Pettit | 361950 | 4 | 10/13/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leonard Flomenhaft | 210069 | 2 | 09/26/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sanford Michael Besser | 20461 | 1 | 09/20/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roger Gary Larsen | 302826 | 1 | 09/07/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alphonso Ragland | 370126 | 2 | 09/07/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Thompson Higgins | 245408 | 7 | 09/02/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Cecil Phillip Berry | 2192889 | 1 | 09/01/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Maxwell Gersten | 221400 | 3 | 08/16/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |