Our Staff has compiled our research into a database of FINRA Broker Allegations for Lawrence Roger Rice.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Lawrence Roger Rice | 375304 | 3 | 08/14/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Lawrence Roger Rice | 375304 | 3 | 02/23/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| Lawrence Roger Rice | 375304 | 3 | 02/08/2010 | Customer Dispute | Settled | $24,900.00 | $0.00 | See Allegations |