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 |
|---|---|---|---|---|---|---|---|---|
| Theodore Grosack | 230718 | 2 | 10/14/1963 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Allen Smith | 1823588 | 1 | 10/11/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Michael Palmer | 2143982 | 8 | 10/09/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carl Joseph Legaspi | 1067812 | 2 | 09/04/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Malin Forrest Jones | 1221667 | 1 | 09/01/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Michael Foley | 210582 | 1 | 08/28/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Wetheral Eves | 203348 | 1 | 08/20/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Bennett Lovercheck | 828651 | 2 | 08/16/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Albert Esau Betar | 20593 | 3 | 08/14/1963 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William John Lauttamus | 303711 | 1 | 08/08/1963 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |