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 |
|---|---|---|---|---|---|---|---|---|
| Juan Maldonado | 1629020 | 1 | 06/06/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Russell Jack Quistgard | 2386556 | 1 | 05/18/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Michael Palmer | 2143982 | 8 | 05/07/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Lee Turner | 1133436 | 3 | 04/15/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Murray Cawthob Gilliam | 221842 | 1 | 03/30/1961 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frederick Godfrey Uhlmann | 451370 | 1 | 03/16/1961 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Frederick Benjamin | 18112 | 1 | 03/16/1961 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Charles Rooney | 852679 | 7 | 03/15/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Cleo Dunlap | 1984686 | 15 | 03/07/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Sherman Rogers | 1847671 | 5 | 02/20/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |