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 |
|---|---|---|---|---|---|---|---|---|
| Richard Martin Geriner | 221167 | 1 | 02/17/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jon Thomas Nelson | 346156 | 3 | 02/01/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Rooney | 1828399 | 2 | 01/16/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Victor Gary Lowatchie | 2203004 | 2 | 01/10/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Sansone | 2012382 | 2 | 01/01/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Raymond Gagnon | 1026462 | 1 | 01/01/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Osvaldo Ralph Puccinelli | 1372737 | 1 | 12/24/1960 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Zalman Chaim Bernstein | 20099 | 1 | 11/29/1960 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kim Kent Koterman | 2301243 | 1 | 11/19/1960 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bobby Lee Arnett | 7442 | 3 | 11/16/1960 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |