Our Staff has compiled our research into a database of FINRA Broker Allegations for Ronald Mark Berman.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Ronald Mark Berman | 19728 | 12 | 01/08/2015 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Ronald Mark Berman | 19728 | 12 | 12/11/2014 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Ronald Mark Berman | 19728 | 12 | 08/07/2013 | Customer Dispute | Settled | $75,000.00 | $0.00 | See Allegations |
| Ronald Mark Berman | 19728 | 12 | 01/17/2013 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Ronald Mark Berman | 19728 | 12 | 06/25/2010 | Customer Dispute | Settled | $11,945,000.00 | $0.00 | See Allegations |
| Ronald Mark Berman | 19728 | 12 | 01/16/2004 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See Allegations |
| Ronald Mark Berman | 19728 | 12 | 10/22/2003 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Ronald Mark Berman | 19728 | 12 | 01/13/2003 | Customer Dispute | Award / Judgment | $925,000.00 | $74,500.00 | See Allegations |
| Ronald Mark Berman | 19728 | 12 | 04/03/1996 | Customer Dispute | Award / Judgment | $520,000.00 | $66,219.00 | See Allegations |
| Ronald Mark Berman | 19728 | 12 | 03/22/1988 | Customer Dispute | Settled | $100,000.00 | $0.00 | See Allegations |