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 A Gordon | 1112019 | 1 | 12/17/2019 | Customer Dispute | Award / Judgment | $1,200.00 | $1,275.00 | See Allegations |
| Mark Christopher Perry | 2197284 | 6 | 12/02/2019 | Customer Dispute | Award / Judgment | $1,342,480.00 | $0.00 | See Allegations |
| Jerri Lynne Pratt | 1507048 | 1 | 11/26/2019 | Customer Dispute | Award / Judgment | $0.00 | $20,496.70 | See Allegations |
| Michael Fasciglione | 1806486 | 30 | 11/18/2019 | Customer Dispute | Award / Judgment | $11,000.00 | $0.00 | See Allegations |
| Jeremy Seidman | 4706814 | 2 | 11/12/2019 | Customer Dispute | Award / Judgment | $6,500,000.00 | $0.00 | See Allegations |
| Matthew Stern Buchsbaum | 2220565 | 34 | 11/12/2019 | Customer Dispute | Award / Judgment | $6,500,000.00 | $0.00 | See Allegations |
| Herbert Garrett Frey | 214237 | 19 | 11/12/2019 | Customer Dispute | Award / Judgment | $83,476.00 | $45,000.00 | See Allegations |
| Clyde Warren Ford | 4700006 | 2 | 11/01/2019 | Customer Dispute | Award / Judgment | $410,000.00 | $410,000.00 | See Allegations |
| Christopher Robert Black | 2186558 | 7 | 10/09/2019 | Customer Dispute | Award / Judgment | $1,200,000.00 | $0.00 | See Allegations |
| Thomas Peter Schaible | 2079444 | 1 | 10/08/2019 | Customer Dispute | Award / Judgment | $2,566,710.00 | $600,000.00 | See Allegations |