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 |
|---|---|---|---|---|---|---|---|---|
| Scott Patrick Trease | 1298222 | 3 | 03/22/2023 | Customer Dispute | Award / Judgment | $100,000.00 | $100,000.00 | See Allegations |
| Suzanne Andrea Powell | 4752270 | 1 | 03/01/2023 | Customer Dispute | Award / Judgment | $135,000.00 | $183,471.00 | See Allegations |
| David Michael Sherwood | 1024893 | 14 | 02/22/2023 | Customer Dispute | Award / Judgment | $72,796.50 | $85,797.90 | See Allegations |
| Jack William Teboda | 864760 | 6 | 02/03/2023 | Customer Dispute | Award / Judgment | $1,993,270.00 | $0.00 | See Allegations |
| Jack Lee Elvestrom | 1426319 | 3 | 02/03/2023 | Customer Dispute | Award / Judgment | $400,000.00 | $54,250.00 | See Allegations |
| Jack Lee Elvestrom | 1426319 | 3 | 02/01/2023 | Customer Dispute | Award / Judgment | $417,000.00 | $0.00 | See Allegations |
| Michael John Halkitis | 2246940 | 4 | 01/26/2023 | Customer Dispute | Award / Judgment | $325,000.00 | $63,693.30 | See Allegations |
| Carol Ann Lemoult | 331681 | 1 | 01/25/2023 | Customer Dispute | Award / Judgment | $625,593.00 | $7,440.00 | See Allegations |
| Joseph Anthony Alagna | 1840339 | 4 | 01/09/2023 | Customer Dispute | Award / Judgment | $2,108,920.00 | $650,000.00 | See Allegations |
| Sean Michael Fleming | 6516544 | 4 | 01/03/2023 | Customer Dispute | Award / Judgment | $1,330,280.00 | $483,333.00 | See Allegations |