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 |
|---|---|---|---|---|---|---|---|---|
| Mark Stephen Alderman | 2244353 | 2 | 07/01/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Allan Smith | 2486548 | 4 | 06/30/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Barry Francis Bellville | 2137855 | 2 | 06/26/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric John Huveldt | 1489697 | 3 | 06/26/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roger James Schumacher | 4987723 | 1 | 06/24/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Berry Speed | 2230289 | 1 | 06/22/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gary James Lundgren | 724817 | 4 | 06/22/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Wahl | 2533957 | 2 | 06/14/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shirley Ruth Shepherd | 2183692 | 2 | 06/11/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Patrick Dobson | 1185632 | 1 | 06/10/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |