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 |
|---|---|---|---|---|---|---|---|---|
| Gary James Lundgren | 724817 | 4 | 02/09/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Allen Anderson Helton | 859637 | 2 | 01/20/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert George Peck | 1709577 | 1 | 01/11/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| George Tracy Wood | 2504188 | 2 | 01/01/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Robert Keyes | 2076922 | 1 | 01/01/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Merrill Bryant | 1859180 | 1 | 12/15/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Seymour R Sacks | 408801 | 1 | 12/14/1962 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Otto James Schultz | 2043447 | 1 | 12/06/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dominick Joseph Diblase | 1391603 | 2 | 12/05/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| J Barry Dewane | 1542197 | 1 | 12/04/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |