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 |
|---|---|---|---|---|---|---|---|---|
| Marvin Robert Swentkofske | 2195456 | 1 | 01/01/1970 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Talarico | 1383529 | 1 | 01/01/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clement Jack Wohlreich | 2196264 | 1 | 01/01/1970 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Carol Diane Overpeck | 2311726 | 1 | 12/30/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas George Chaffin | 44046 | 2 | 12/29/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas George Chaffin | 44046 | 2 | 12/29/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Larry L Lauth | 4734559 | 2 | 12/27/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bradley Allan Miller | 2315282 | 1 | 12/27/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Eugene Petro | 715693 | 3 | 12/23/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Raymond Neil Bergen | 2218378 | 1 | 12/16/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |