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 |
|---|---|---|---|---|---|---|---|---|
| John Danh Nguyen | 4919629 | 1 | 02/13/2021 | Customer Dispute | Award / Judgment | $5,000,000.00 | $870,220.00 | See Allegations |
| W Mark Parker | 2650203 | 1 | 02/04/2021 | Customer Dispute | Award / Judgment | $2,526,000.00 | $0.00 | See Allegations |
| Scott Dale Syde | 1905672 | 3 | 02/03/2021 | Customer Dispute | Award / Judgment | $1,000,000.00 | $0.00 | See Allegations |
| William Sideny Friedman | 2475502 | 9 | 02/03/2021 | Customer Dispute | Award / Judgment | $250,000.00 | $0.00 | See Allegations |
| Todd Edwards Wachsman | 4824640 | 1 | 01/26/2021 | Customer Dispute | Award / Judgment | $1,600,000.00 | $0.00 | See Allegations |
| David P Wachsman | 2220024 | 1 | 01/26/2021 | Customer Dispute | Award / Judgment | $1,600,000.00 | $0.00 | See Allegations |
| Edward James Balmes | 2110152 | 3 | 01/22/2021 | Customer Dispute | Award / Judgment | $25,000.00 | $1,750.00 | See Allegations |
| Eric Lee Johnson | 2721115 | 1 | 01/12/2021 | Customer Dispute | Award / Judgment | $54,568.00 | $0.00 | See Allegations |
| Dennis Phillip Ayre | 5365176 | 16 | 12/31/2020 | Customer Dispute | Award / Judgment | $300,000.00 | $322,648.00 | See Allegations |
| Kevin Anthony Butler | 1138534 | 2 | 12/31/2020 | Customer Dispute | Award / Judgment | $1,590,300.00 | $165,708.00 | See Allegations |