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 |
|---|---|---|---|---|---|---|---|---|
| Mark Stewart | 2074085 | 1 | 11/03/2023 | Customer Dispute | Award / Judgment | $0.00 | $11,055.70 | See Allegations |
| Eric Koonwai Ng | 2780478 | 5 | 06/02/2023 | Customer Dispute | Award / Judgment | $21,500.00 | $0.00 | See Allegations |
| David Hilton Page | 2874899 | 9 | 05/15/2023 | Customer Dispute | Award / Judgment | $135,000.00 | $0.00 | See Allegations |
| Alex Shtaynberger | 2077298 | 2 | 04/28/2023 | Customer Dispute | Award / Judgment | $0.00 | $57,375.40 | See Allegations |
| Larry Richard Law | 1273118 | 4 | 04/14/2023 | Customer Dispute | Award / Judgment | $0.00 | $1,301,030.00 | See Allegations |
| John William Wolf | 1846080 | 10 | 04/12/2023 | Customer Dispute | Award / Judgment | $750,000.00 | $0.00 | See Allegations |
| Dennis Phillip Ayre | 5365176 | 16 | 04/07/2023 | Customer Dispute | Award / Judgment | $300,000.00 | $322,648.00 | See Allegations |
| Craig Robert Zimmerman | 7037239 | 1 | 04/06/2023 | Customer Dispute | Award / Judgment | $700,000.00 | $200,000.00 | See Allegations |
| Matthew Jason Patrick | 4715467 | 3 | 04/06/2023 | Customer Dispute | Award / Judgment | $700,000.00 | $200,000.00 | See Allegations |
| Carol Dahl | 1851799 | 1 | 03/30/2023 | Customer Dispute | Award / Judgment | $20,000.00 | $20,000.00 | See Allegations |