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 |
|---|---|---|---|---|---|---|---|---|
| Brian Jacob Nikulski | 2630600 | 5 | 04/16/2019 | Customer Dispute | Award / Judgment | $669,067.00 | $526,596.00 | See Allegations |
| William Cranston Fenwick | 1547907 | 4 | 04/12/2019 | Customer Dispute | Award / Judgment | $1,254,490.00 | $0.00 | See Allegations |
| Robert Paul Hart | 2313194 | 3 | 04/12/2019 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See Allegations |
| Thomas Lee Tonkovich | 5256792 | 1 | 04/12/2019 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See Allegations |
| Gregory Jon Williams | 1561089 | 10 | 03/29/2019 | Customer Dispute | Award / Judgment | $578,821.00 | $45,818.00 | See Allegations |
| Gabriel Jacob Cooperman | 5542753 | 1 | 03/13/2019 | Customer Dispute | Award / Judgment | $691,206.00 | $0.00 | See Allegations |
| Timothy Joseph Croak | 840899 | 4 | 03/13/2019 | Customer Dispute | Award / Judgment | $691,206.00 | $0.00 | See Allegations |
| Matthew Stern Buchsbaum | 2220565 | 34 | 03/13/2019 | Customer Dispute | Award / Judgment | $691,206.00 | $0.00 | See Allegations |
| Mitchell William Black | 4664345 | 6 | 03/05/2019 | Customer Dispute | Award / Judgment | $0.00 | $450.00 | See Allegations |
| Brendan Patrick Shaw | 4721215 | 5 | 03/04/2019 | Customer Dispute | Award / Judgment | $0.00 | $400,000.00 | See Allegations |