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 |
|---|---|---|---|---|---|---|---|---|
| Jay Lindsay Geaslen | 2124281 | 3 | 09/05/2024 | Customer Dispute | Settled | $25,000.00 | $0.00 | See Allegations |
| Drew Matthew Peacock | 5834481 | 5 | 09/03/2024 | Customer Dispute | Settled | $16,694.60 | $0.00 | See Allegations |
| Edward Williams Ricker | 6008239 | 2 | 08/23/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| Rodney Wayne Rich | 714642 | 2 | 08/22/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| Mark Robert Brosa | 5481188 | 3 | 08/19/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| Robert Timothy Higgins | 2374125 | 1 | 08/09/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| Michael Ramon Delao | 2406749 | 9 | 08/08/2024 | Customer Dispute | Settled | $8,613.87 | $0.00 | See Allegations |
| Gihan Anil Fernando | 4469669 | 62 | 08/07/2024 | Customer Dispute | Settled | $100,000.00 | $0.00 | See Allegations |
| Steven Paul Cox | 5223902 | 1 | 08/07/2024 | Customer Dispute | Settled | $79,331.90 | $0.00 | See Allegations |
| James Taylor Davis | 6646090 | 7 | 08/06/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |