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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Jonathan Duncan Fraser | 1098767 | 3 | 09/14/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Paul Ratner | 808159 | 2 | 09/09/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Larry Glenn Simpson | 3109412 | 1 | 09/07/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Nicholas Callahan | 38530 | 1 | 08/29/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Howard Henke | 1613710 | 1 | 08/24/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Russell Seay | 1051681 | 3 | 08/10/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Russell Seay | 1051681 | 3 | 08/08/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Roy Axford | 3120407 | 1 | 08/02/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Curtis Kent Lane | 4356283 | 1 | 08/01/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Karl Wilton Harman | 1296284 | 4 | 07/25/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |