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 |
|---|---|---|---|---|---|---|---|---|
| Gerard Joseph Costello | 1551511 | 3 | 08/25/2020 | Customer Dispute | Award / Judgment | $100,000.00 | $0.00 | See Allegations |
| Cory Alan Durham | 5130512 | 1 | 08/25/2020 | Customer Dispute | Award / Judgment | $100,000.00 | $0.00 | See Allegations |
| Blair Louis Horne | 1270875 | 4 | 08/19/2020 | Customer Dispute | Award / Judgment | $317,789.00 | $228,966.00 | See Allegations |
| Ahmet Kildis | 2058173 | 4 | 08/10/2020 | Customer Dispute | Award / Judgment | $0.00 | $18,582.40 | See Allegations |
| Roderick K Von Lipsey | 4270444 | 4 | 08/10/2020 | Customer Dispute | Award / Judgment | $445,894.00 | $0.00 | See Allegations |
| Susan Hecht Ezekiel | 1903035 | 2 | 07/31/2020 | Customer Dispute | Award / Judgment | $100,000.00 | $45,600.00 | See Allegations |
| Bart James Bohrer | 4315654 | 5 | 07/27/2020 | Customer Dispute | Award / Judgment | $489,682.00 | $578,846.00 | See Allegations |
| Sean Joseph Kelly | 2294170 | 16 | 07/27/2020 | Customer Dispute | Award / Judgment | $473,972.00 | $0.00 | See Allegations |
| Marcio Moraes Marciano Da Rocha | 6558910 | 1 | 07/21/2020 | Customer Dispute | Award / Judgment | $4,694,910.00 | $800,000.00 | See Allegations |
| Gregory Wallace Rachele | 3046883 | 3 | 07/08/2020 | Customer Dispute | Award / Judgment | $692,822.00 | $792,293.00 | See Allegations |