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 |
|---|---|---|---|---|---|---|---|---|
| John Parker Roe | 1100619 | 2 | 05/01/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Lynn Copen | 2160692 | 2 | 05/01/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Howard Matson | 1016427 | 1 | 04/30/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lewis Jay Lassow | 803795 | 4 | 04/29/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Jules Greenberg | 1102015 | 1 | 04/28/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roger Douglas Easson | 1878496 | 1 | 04/26/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Terrence Lee Feig | 1199693 | 1 | 04/25/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shirley Ruth Shepherd | 2183692 | 2 | 04/21/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gary Lane Lewis | 1725359 | 1 | 04/19/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Odell M Gaskin | 2132543 | 1 | 04/19/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |