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 |
|---|---|---|---|---|---|---|---|---|
| Ortal Shachar | 2940760 | 1 | 09/09/2019 | Customer Dispute | Award / Judgment | $1,669,480.00 | $0.00 | See Allegations |
| Richard Mark Held | 600760 | 5 | 09/09/2019 | Customer Dispute | Award / Judgment | $1,669,480.00 | $0.00 | See Allegations |
| Monica Mary Baldwin | 1410593 | 2 | 09/06/2019 | Customer Dispute | Award / Judgment | $4,000,000.00 | $165,000.00 | See Allegations |
| William Montgomery Cerf | 2269462 | 6 | 09/05/2019 | Customer Dispute | Award / Judgment | $7,000,000.00 | $0.00 | See Allegations |
| John Francis Lynch | 1806466 | 1 | 09/04/2019 | Customer Dispute | Award / Judgment | $6,250.00 | $6,575.00 | See Allegations |
| Bruce William Doole | 2322136 | 2 | 09/01/2019 | Customer Dispute | Award / Judgment | $175,000.00 | $175,000.00 | See Allegations |
| Scott Michael Rosenberg | 2754292 | 8 | 08/26/2019 | Customer Dispute | Award / Judgment | $400,000.00 | $0.00 | See Allegations |
| Mark Steven Elias | 2938707 | 3 | 08/26/2019 | Customer Dispute | Award / Judgment | $400,000.00 | $0.00 | See Allegations |
| Lawrence Ira Goldstein | 3223787 | 10 | 08/12/2019 | Customer Dispute | Award / Judgment | $1,517,550.00 | $0.00 | See Allegations |
| Barry Steven Snyder | 2385901 | 3 | 08/06/2019 | Customer Dispute | Award / Judgment | $500,000.00 | $0.00 | See Allegations |