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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Henry Roulston | 405880 | 1 | 08/17/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald Sanford Hodes | 247325 | 3 | 08/03/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leonard L Fane | 204237 | 3 | 07/30/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ernest Michael Fuller | 215597 | 3 | 07/30/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Craig Hanseen | 1311754 | 3 | 07/14/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Harry Schmidt | 413973 | 1 | 06/15/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Frederick Borst | 26381 | 5 | 06/14/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Marlow | 600767 | 9 | 06/14/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alfred Benedict | 17942 | 7 | 06/09/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Arthur Yampell | 601005 | 2 | 05/25/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |