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 |
|---|---|---|---|---|---|---|---|---|
| Blake Franklin Asbury | 6156328 | 3 | 10/13/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Martin David Springer | 1190769 | 2 | 10/10/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Eldredge Swanson | 870561 | 4 | 10/09/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Anthony Eno | 1209077 | 4 | 10/08/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen M Chancellor | 1113887 | 1 | 10/04/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Louis Ziegler | 1536243 | 1 | 10/01/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter Craig Lund | 1533165 | 1 | 10/01/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Britton Chandler Derby | 1683498 | 2 | 10/01/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marshall Stephen Knight | 1597002 | 5 | 09/30/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Langdon Spivey | 432380 | 1 | 09/30/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |