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 |
|---|---|---|---|---|---|---|---|---|
| Maurice Altshuler | 4133 | 2 | 04/01/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Carl William Nolting | 348894 | 3 | 03/03/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alfred Benedict | 17942 | 7 | 02/27/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Arthur Courtlandt Ely | 200745 | 1 | 02/24/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Chapman Gowell | 226688 | 1 | 02/24/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Willis Guy Littell | 601072 | 2 | 01/30/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Arthur Fehr | 205545 | 1 | 01/03/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael Allen | 5700624 | 1 | 01/01/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Louis Hofer | 1223352 | 1 | 01/01/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Clayton Glad | 222573 | 2 | 01/01/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |