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 N Girgis | 5021526 | 5 | 12/24/2020 | Customer Dispute | Award / Judgment | $411,740.00 | $234,336.00 | See Allegations |
| Christopher Thomas Tolmacs | 4648724 | 23 | 12/23/2020 | Customer Dispute | Award / Judgment | $71,685.00 | $0.00 | See Allegations |
| Carmine Anthony Berardi | 4879362 | 2 | 12/16/2020 | Customer Dispute | Award / Judgment | $278,633.00 | $0.00 | See Allegations |
| Marc E Laborde | 4975479 | 14 | 12/15/2020 | Customer Dispute | Award / Judgment | $1,000,000.00 | $0.00 | See Allegations |
| Francis Xavier Amsler | 2526813 | 14 | 12/15/2020 | Customer Dispute | Award / Judgment | $1,000,000.00 | $0.00 | See Allegations |
| Tara Leigh Rotfeld | 5780116 | 1 | 12/09/2020 | Customer Dispute | Award / Judgment | $21,572.00 | $0.00 | See Allegations |
| Marc E Laborde | 4975479 | 14 | 12/07/2020 | Customer Dispute | Award / Judgment | $749,555.00 | $0.00 | See Allegations |
| Marc E Laborde | 4975479 | 14 | 12/07/2020 | Customer Dispute | Award / Judgment | $5,000,000.00 | $0.00 | See Allegations |
| Jesse Lunin-pack | 4448224 | 1 | 12/07/2020 | Customer Dispute | Award / Judgment | $600,000.00 | $0.00 | See Allegations |
| Raymond Anthony Ferro | 1927831 | 6 | 12/07/2020 | Customer Dispute | Award / Judgment | $600,000.00 | $0.00 | See Allegations |