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 |
|---|---|---|---|---|---|---|---|---|
| Keith Allen Bjerk | 1562316 | 5 | 04/13/1967 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dennis Joseph Smith | 1038343 | 1 | 04/02/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Wynne Kelly | 809289 | 1 | 03/29/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph S Zimmer | 5460774 | 5 | 03/29/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Brent Johnson | 2156328 | 1 | 03/29/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Patrick Prestigiacomo | 1830382 | 2 | 03/24/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Powell Thompson | 1208090 | 1 | 03/22/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Gene Morton | 704122 | 2 | 03/12/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward Eugene Davis | 2057168 | 1 | 03/09/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Vedros | 453952 | 10 | 03/07/1967 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |