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 |
|---|---|---|---|---|---|---|---|---|
| Gary Daniel Ruff | 1470492 | 1 | 04/29/2022 | Customer Dispute | Dismissed | $0.00 | $0.00 | See Allegations |
| Vivian Fengi Chuan Sun | 3031907 | 2 | 04/29/2022 | Customer Dispute | Dismissed | $0.00 | $0.00 | See Allegations |
| Norman Lawrence Cone | 2302699 | 1 | 02/13/2022 | Customer Dispute | Dismissed | $5,447.00 | $0.00 | See Allegations |
| Chad Joseph David | 2164762 | 2 | 03/18/2021 | Customer Dispute | Dismissed | $0.00 | $0.00 | See Allegations |
| Stephen Curtis Lawler | 1193477 | 6 | 01/28/2021 | Customer Dispute | Dismissed | $0.00 | $0.00 | See Allegations |
| James Richard Sophia | 3222645 | 5 | 12/22/2020 | Customer Dispute | Dismissed | $88,650.00 | $0.00 | See Allegations |
| Jonathan Hagan Hicks | 4492684 | 1 | 12/08/2020 | Customer Dispute | Dismissed | $20,000.00 | $0.00 | See Allegations |
| Donovan Gregory Mannato | 2950500 | 2 | 12/03/2020 | Customer Dispute | Dismissed | $3,350,000.00 | $0.00 | See Allegations |
| Thomas William Haarmann | 4181416 | 1 | 11/05/2020 | Customer Dispute | Dismissed | $45,000.00 | $0.00 | See Allegations |
| Randall Kent Minas | 821449 | 6 | 09/04/2020 | Customer Dispute | Dismissed | $500,000.00 | $0.00 | See Allegations |