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 |
|---|---|---|---|---|---|---|---|---|
| William Austin Bailey | 1085215 | 10 | 11/01/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Allen Staggs | 1774889 | 1 | 11/01/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Michael Palmer | 2143982 | 8 | 10/21/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alfred Benedict | 17942 | 7 | 10/16/1967 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Raymond Huffman | 1112755 | 1 | 10/11/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nelson Gatch Powers | 2120913 | 9 | 10/05/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Barbara Ellen Arp | 1233437 | 1 | 10/04/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carl William Nolting | 348894 | 3 | 10/02/1967 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Anthony Carrillo | 1407538 | 3 | 10/01/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Sciuto | 1432114 | 3 | 09/16/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |