Our Staff has compiled our research into a database of FINRA Broker Allegations for Richard Mark Held.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Richard Mark Held | 600760 | 5 | 09/09/2019 | Customer Dispute | Award / Judgment | $1,669,480.00 | $0.00 | See Allegations |
| Richard Mark Held | 600760 | 5 | 02/07/2012 | Customer Dispute | Denied | $176,695.00 | $0.00 | See Allegations |
| Richard Mark Held | 600760 | 5 | 07/16/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| Richard Mark Held | 600760 | 5 | 05/06/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| Richard Mark Held | 600760 | 5 | 10/10/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |