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 |
|---|---|---|---|---|---|---|---|---|
| Noel Fleming | 2030824 | 11 | 01/01/1956 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward Lee Beard | 2230265 | 3 | 10/02/1955 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Phillip Brent Jones | 261599 | 1 | 09/27/1955 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Kenneth Smith | 428790 | 2 | 08/09/1955 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edwin Thomas Underwood | 1195630 | 1 | 06/03/1955 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Kenneth Smith | 428790 | 2 | 04/15/1955 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edgar Allen Clingerman | 1343331 | 1 | 12/20/1954 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gene A Lemoine | 1752373 | 1 | 12/11/1954 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eugene Lasalle Gadau | 216249 | 1 | 04/19/1954 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Paul Niemiec | 1046540 | 1 | 01/13/1954 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |