Our Staff has compiled our research into a database of FINRA Broker Allegations.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Oleg Metsaev | 4912859 | 1 | 08/12/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See Allegations |
| Paul Glenn Daft | 7267787 | 1 | 07/17/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See Allegations |
| Nolan Richard Baker | 2900826 | 2 | 07/15/2024 | Customer Dispute | Closed-No Action | $80,000.00 | $0.00 | See Allegations |
| Lynn K Tsang | 5754911 | 1 | 07/08/2024 | Customer Dispute | Closed-No Action | $52,421.60 | $0.00 | See Allegations |
| Farzad Raufi | 6943330 | 1 | 07/02/2024 | Customer Dispute | Closed-No Action | $120,000.00 | $0.00 | See Allegations |
| Robert Ivan Schwartz | 1306571 | 3 | 06/20/2024 | Customer Dispute | Closed-No Action | $75,000.00 | $0.00 | See Allegations |
| Kevin Robert Cohen | 6403602 | 1 | 06/20/2024 | Customer Dispute | Closed-No Action | $75,000.00 | $0.00 | See Allegations |
| Ross Beardslee Levine | 4285637 | 1 | 06/17/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See Allegations |
| Jeffrey Brian Huston | 4299932 | 1 | 06/12/2024 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See Allegations |
| Damian Agustin Pereira-nunez | 5211567 | 1 | 06/06/2024 | Customer Dispute | Closed-No Action | $7,000.00 | $0.00 | See Allegations |