Our Staff has compiled our research into a database of FINRA Broker Allegations.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Anida Venniro | 5121189 | 5 | 09/20/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Vincent Connor Fuchs | 6602274 | 2 | 09/20/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Christian Eduardo De Berardinis | 4312327 | 3 | 09/19/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| April Marie Wilson | 4515321 | 2 | 09/18/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See Allegations |
| Bert Kenji Takita | 5852632 | 3 | 09/18/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Raymond John Dimuro | 3195132 | 2 | 09/18/2024 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| Tammie Lyn Farrell | 2475931 | 6 | 09/17/2024 | Customer Dispute | Pending | $275,000.00 | $0.00 | See Allegations |
| Brittani Corren Schaefer | 6327801 | 2 | 09/17/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See Allegations |
| Betsy Lou Whipple | 2703262 | 7 | 09/17/2024 | Customer Dispute | Pending | $50,000.00 | $0.00 | See Allegations |
| Betsy Lou Whipple | 2703262 | 7 | 09/17/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See Allegations |