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 |
|---|---|---|---|---|---|---|---|---|
| Jeremy T Shull | 4410022 | 1 | 03/23/2020 | Customer Dispute | Award / Judgment | $730,631.00 | $0.00 | See Allegations |
| James Dwight Mcpherson | 5918462 | 2 | 03/09/2020 | Customer Dispute | Award / Judgment | $500,000.00 | $125,000.00 | See Allegations |
| Michael Leahy | 1899498 | 9 | 03/05/2020 | Customer Dispute | Award / Judgment | $1,363,020.00 | $0.00 | See Allegations |
| Jonathan A Kuhn | 2560067 | 1 | 02/25/2020 | Customer Dispute | Award / Judgment | $91,093.00 | $5,000.00 | See Allegations |
| Sean Joseph Kelly | 2294170 | 16 | 02/24/2020 | Customer Dispute | Award / Judgment | $120,354.00 | $0.00 | See Allegations |
| Seth Barnes Stewart | 5467292 | 8 | 02/21/2020 | Customer Dispute | Award / Judgment | $200,000.00 | $35,000.00 | See Allegations |
| Matthew Stern Buchsbaum | 2220565 | 34 | 02/07/2020 | Customer Dispute | Award / Judgment | $2,200,000.00 | $0.00 | See Allegations |
| William Montgomery Cerf | 2269462 | 6 | 02/07/2020 | Customer Dispute | Award / Judgment | $2,200,000.00 | $0.00 | See Allegations |
| Francisco Javier Valenzuela | 2786970 | 7 | 02/06/2020 | Customer Dispute | Award / Judgment | $500,000.00 | $170,000.00 | See Allegations |
| Anthony Sica | 1332626 | 8 | 01/31/2020 | Customer Dispute | Award / Judgment | $750,000.00 | $0.00 | See Allegations |