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 |
|---|---|---|---|---|---|---|---|---|
| Richard Melvin Guntrum | 1037266 | 1 | 12/14/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Lee Sirek | 1326067 | 1 | 12/14/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Karl Brookreson | 2846817 | 1 | 12/13/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dennis Loss Francis | 2109660 | 3 | 12/03/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dennis Owen Felix | 1317734 | 1 | 12/01/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert I Madow | 1676670 | 2 | 11/27/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Jacob Barczyk | 1617203 | 1 | 11/26/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Edward Hughes | 1544224 | 1 | 11/18/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Ralph Lehe | 1817009 | 2 | 11/17/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Valerie Kendrick | 1579360 | 2 | 11/17/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |