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 |
|---|---|---|---|---|---|---|---|---|
| Joseph George Kathrein | 1157401 | 6 | 01/13/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Leonard Cline | 4387174 | 2 | 01/13/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Hartwell Ensey | 1417338 | 2 | 01/13/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Norman Dale Holdbrooks | 2055576 | 1 | 01/13/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dale Harvey Meyering | 1692035 | 1 | 01/12/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Wayne Riedel | 712935 | 3 | 01/10/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ron Eli Cukier | 2510063 | 5 | 01/04/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Farley Hickey | 828828 | 3 | 01/04/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Raymond A Garbarini | 217480 | 1 | 01/01/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James W Carroll | 844394 | 1 | 01/01/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |