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 | 06/30/2010 | Customer Dispute | Denied | $5,969.89 | $0.00 | See Allegations |
| Anthony Diaz | 4131948 | 62 | 03/11/2010 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See Allegations |
| Anthony Diaz | 4131948 | 62 | 03/03/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| Anthony Diaz | 4131948 | 62 | 04/16/2009 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See Allegations |
| Anthony Diaz | 4131948 | 62 | 08/28/2006 | Customer Dispute | Withdrawn | $10,678.00 | $0.00 | See Allegations |
| Anthony Diaz | 4131948 | 62 | 06/22/2006 | Customer Dispute | Denied | $12,000.00 | $0.00 | See Allegations |
| Anthony Diaz | 4131948 | 62 | 06/13/2006 | Customer Dispute | Denied | $16,230.00 | $0.00 | See Allegations |
| Anthony Diaz | 4131948 | 62 | 05/19/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Anthony Diaz | 4131948 | 62 | 05/04/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Anthony Diaz | 4131948 | 62 | 11/21/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations |