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 |
|---|---|---|---|---|---|---|---|---|
| Robert Polk Leidy | 306087 | 2 | 06/09/1969 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott McMahill Cummings | 4803957 | 1 | 06/05/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Dennis Sossamon | 1221731 | 1 | 06/03/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William David Medlock | 1127257 | 4 | 06/03/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lyle Joseph Miller | 1491370 | 1 | 06/02/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clarence Roy Goforth | 1128370 | 1 | 05/29/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Michael Mrstik | 5464193 | 2 | 05/29/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael P Hill | 5009437 | 1 | 05/28/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark E Jones | 261512 | 11 | 05/11/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William David Medlock | 1127257 | 4 | 05/10/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |