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 |
|---|---|---|---|---|---|---|---|---|
| Russell Orazio Ruffino | 1134585 | 4 | 09/30/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 09/30/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Lee Berry | 2129932 | 6 | 09/27/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Keith Allen Bjerk | 1562316 | 5 | 09/26/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Anthony Maas | 1590640 | 4 | 09/21/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Harry Gliksman | 223138 | 11 | 09/19/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Don Gillam Crain | 821156 | 1 | 09/17/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Arthur H Feigenbaum | 2299028 | 1 | 09/15/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Earl Moyer | 1186287 | 2 | 09/10/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Guy Keith Moxam | 1229755 | 3 | 09/08/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |