Our Staff has compiled our research into a database of FINRA Broker Allegations for Anthony Diaz.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Anthony Diaz | 4131948 | 62 | 04/13/2017 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Anthony Diaz | 4131948 | 62 | 05/10/2016 | Customer Dispute | Settled | $144,712.00 | $0.00 | See Allegations |
| Anthony Diaz | 4131948 | 62 | 05/06/2016 | Customer Dispute | Award / Judgment | $2,400,000.00 | $0.00 | See Allegations |
| Anthony Diaz | 4131948 | 62 | 04/04/2016 | Customer Dispute | Settled | $187,840.00 | $0.00 | See Allegations |
| Anthony Diaz | 4131948 | 62 | 02/08/2016 | Customer Dispute | Settled | $50,000.00 | $0.00 | See Allegations |
| Anthony Diaz | 4131948 | 62 | 11/03/2015 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Anthony Diaz | 4131948 | 62 | 07/31/2015 | Customer Dispute | Pending | $500,000.00 | $0.00 | See Allegations |
| Anthony Diaz | 4131948 | 62 | 07/27/2015 | Customer Dispute | Settled | $100,000.00 | $0.00 | See Allegations |
| Anthony Diaz | 4131948 | 62 | 06/10/2015 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Anthony Diaz | 4131948 | 62 | 05/12/2015 | Customer Dispute | Settled | $1,021,520.00 | $0.00 | See Allegations |