Our Staff has compiled our research into a database of FINRA Broker Allegations for Frank Roland Dietrich.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Frank Roland Dietrich | 2506091 | 12 | 07/01/2019 | Customer Dispute | Pending | $271,500.00 | $0.00 | See Allegations |
| Frank Roland Dietrich | 2506091 | 12 | 11/26/2018 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Frank Roland Dietrich | 2506091 | 12 | 05/29/2018 | Customer Dispute | Settled | $100,001.00 | $0.00 | See Allegations |
| Frank Roland Dietrich | 2506091 | 12 | 05/24/2018 | Customer Dispute | Settled | $5,001.00 | $0.00 | See Allegations |
| Frank Roland Dietrich | 2506091 | 12 | 04/10/2018 | Customer Dispute | Pending | $200,000.00 | $0.00 | See Allegations |
| Frank Roland Dietrich | 2506091 | 12 | 04/07/2018 | Customer Dispute | Settled | $400,000.00 | $0.00 | See Allegations |
| Frank Roland Dietrich | 2506091 | 12 | 03/31/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| Frank Roland Dietrich | 2506091 | 12 | 03/05/2018 | Customer Dispute | Settled | $633,880.00 | $0.00 | See Allegations |
| Frank Roland Dietrich | 2506091 | 12 | 02/23/2018 | Customer Dispute | Pending | $264,000.00 | $0.00 | See Allegations |
| Frank Roland Dietrich | 2506091 | 12 | 12/14/2017 | Customer Dispute | Award / Judgment | $200,000.00 | $0.00 | See Allegations |