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 |
|---|---|---|---|---|---|---|---|---|
| Steven Scott Novick | 2187676 | 3 | 01/28/2020 | Customer Dispute | Award / Judgment | $5,375.58 | $5,000.00 | See Allegations |
| Scott Danial Swaylik | 2936324 | 2 | 01/22/2020 | Customer Dispute | Award / Judgment | $0.00 | $150,000.00 | See Allegations |
| Ernest Sean Mishne | 2091091 | 4 | 01/20/2020 | Customer Dispute | Award / Judgment | $440,000.00 | $220,542.00 | See Allegations |
| Peter Dieter Nett | 4506990 | 3 | 01/17/2020 | Customer Dispute | Award / Judgment | $208,000.00 | $0.00 | See Allegations |
| Daniel Lawrence Pimental | 2196343 | 3 | 01/14/2020 | Customer Dispute | Award / Judgment | $0.00 | $67,917.00 | See Allegations |
| Bruce Jude Guarino | 1096719 | 11 | 01/07/2020 | Customer Dispute | Award / Judgment | $252,546.00 | $0.00 | See Allegations |
| Jonothon Michael Lieberman | 2237428 | 20 | 01/07/2020 | Customer Dispute | Award / Judgment | $252,546.00 | $0.00 | See Allegations |
| Christopher Anthony Fernan | 5896584 | 13 | 12/23/2019 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See Allegations |
| Jason Matthew Dworak | 2434370 | 1 | 12/20/2019 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See Allegations |
| Garrett Randell Gaylor | 2276151 | 3 | 12/19/2019 | Customer Dispute | Award / Judgment | $103,000.00 | $0.00 | See Allegations |