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 |
|---|---|---|---|---|---|---|---|---|
| Leland Thomas Kennedy | 2262549 | 1 | 10/05/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Henry Tully Martin | 1341693 | 1 | 10/01/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Edwin Holliday | 1013968 | 1 | 10/01/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Ray Tripp | 3127900 | 1 | 10/01/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David A Smith | 5706472 | 1 | 09/24/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Walter Somero | 1321539 | 1 | 09/08/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Melville Steuart Brown | 32720 | 2 | 09/01/1962 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Eugene Benson | 1965537 | 5 | 08/30/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Eugene Benson | 1965537 | 5 | 08/22/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Michael Palmer | 2143982 | 8 | 08/18/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |