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 |
|---|---|---|---|---|---|---|---|---|
| Jaime Antonio Casellas | 2338369 | 79 | 10/03/2019 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See Allegations |
| Samuel Wylie Sloane | 2318085 | 3 | 10/03/2019 | Customer Dispute | Award / Judgment | $0.00 | $167,833.00 | See Allegations |
| Dale Franklin Johnson | 1027344 | 1 | 10/03/2019 | Customer Dispute | Award / Judgment | $0.00 | $167,833.00 | See Allegations |
| Josh Michael Label | 5032599 | 17 | 09/27/2019 | Customer Dispute | Award / Judgment | $410,850.00 | $0.00 | See Allegations |
| Roy Yuzon Gagaza | 2997205 | 4 | 09/20/2019 | Customer Dispute | Award / Judgment | $452,000.00 | $452,000.00 | See Allegations |
| Rafael Golan | 1074079 | 16 | 09/18/2019 | Customer Dispute | Award / Judgment | $2,568,770.00 | $0.00 | See Allegations |
| Alfonso Allen Gialanella | 2988940 | 1 | 09/13/2019 | Customer Dispute | Award / Judgment | $65,000.00 | $43,000.00 | See Allegations |
| Harold Douglas Mccoy | 2710694 | 5 | 09/11/2019 | Customer Dispute | Award / Judgment | $33,000.00 | $0.00 | See Allegations |
| Jason K Williams | 4676003 | 4 | 09/10/2019 | Customer Dispute | Award / Judgment | $58,327.50 | $0.00 | See Allegations |
| Frederick Maximilian Kort | 5376727 | 3 | 09/09/2019 | Customer Dispute | Award / Judgment | $1,669,480.00 | $0.00 | See Allegations |