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 |
|---|---|---|---|---|---|---|---|---|
| John Arch Stephens | 602554 | 1 | 02/28/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Otis Ehlers | 76191 | 3 | 02/25/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George Kenneth Baum | 15039 | 1 | 02/10/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Joseph Kirby | 1282742 | 1 | 02/01/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roger Lee Freeman | 213815 | 2 | 01/18/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Arnold Martin Bernhard | 19899 | 1 | 01/14/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Floyd Gilbert Bickel | 21026 | 1 | 01/05/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Frank Darpel | 61093 | 2 | 01/04/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Julius Baldassari | 11084 | 1 | 01/04/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Marvin Nee | 345531 | 3 | 01/01/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |