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 |
|---|---|---|---|---|---|---|---|---|
| George Mark Wood | 471951 | 1 | 06/27/1962 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ancel Leroy Sapp | 4216108 | 1 | 06/10/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carl Wayne Dewar | 1277720 | 1 | 06/01/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stanton Howard Dorsett | 70660 | 2 | 06/01/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rolando Herberto Mora | 2944236 | 1 | 05/31/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jack Lee Smith | 2305772 | 1 | 05/24/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Dewayne Stuck | 1234893 | 2 | 05/18/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Laurence David Poplack | 2694160 | 1 | 05/10/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Barry Hugh Engelman | 2967754 | 2 | 05/09/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Geoffrey L Fiszel | 2285213 | 1 | 05/07/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |