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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Jay Williams | 4086335 | 2 | 08/05/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter Thompson Higgins | 245408 | 7 | 08/01/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Reuben Rose | 1596444 | 2 | 07/15/1963 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Owens Jones | 2058354 | 1 | 07/14/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Maxwell Murray van de Velde | 452847 | 1 | 07/14/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Raymond Aldo Mittino | 1238529 | 3 | 06/29/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alan Martin Berryman | 1149623 | 1 | 06/18/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Russell Seay | 1051681 | 3 | 06/15/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Strout Davis | 1579338 | 1 | 05/27/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Hyman Gomer | 224830 | 2 | 05/13/1963 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |