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 Anthony Vieira | 1410092 | 7 | 08/01/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher James Harris | 710781 | 1 | 08/01/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bruce Jeffrey Weissman | 1236356 | 2 | 08/01/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robby Haase | 1221240 | 3 | 08/01/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rex Neal Hoover | 1495929 | 1 | 07/27/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Monroe Finley | 1396163 | 2 | 07/19/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alfred Richard Ernst | 202081 | 1 | 07/18/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Edward Dwyer | 1479446 | 5 | 07/16/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lawrence Robert O'Callaghan | 1121186 | 1 | 07/11/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Allan William Moskowitz | 2103510 | 1 | 07/10/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |