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 |
|---|---|---|---|---|---|---|---|---|
| Jonathan Norman Hendrickson | 4683563 | 4 | 02/27/2019 | Customer Dispute | Award / Judgment | $173,645.00 | $491,500.00 | See Allegations |
| John Richard Carlson | 3098410 | 19 | 02/25/2019 | Customer Dispute | Award / Judgment | $445,000.00 | $0.00 | See Allegations |
| Steven Roland Knuttila | 3039112 | 47 | 02/25/2019 | Customer Dispute | Award / Judgment | $445,000.00 | $0.00 | See Allegations |
| Scott Michael Rosenberg | 2754292 | 8 | 02/15/2019 | Customer Dispute | Award / Judgment | $402,182.00 | $0.00 | See Allegations |
| Mark Allen Zeller | 2263684 | 1 | 02/15/2019 | Customer Dispute | Award / Judgment | $402,182.00 | $0.00 | See Allegations |
| Julie Lan Cohen | 1424275 | 3 | 02/14/2019 | Customer Dispute | Award / Judgment | $0.00 | $727,000.00 | See Allegations |
| Rita Mansour | 1968418 | 7 | 02/08/2019 | Customer Dispute | Award / Judgment | $550,580.00 | $0.00 | See Allegations |
| Thomas Marion Mcdonald | 326904 | 6 | 02/08/2019 | Customer Dispute | Award / Judgment | $550,580.00 | $0.00 | See Allegations |
| Thomas Herbert Bock | 806182 | 10 | 02/05/2019 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See Allegations |
| Mary Catherine Evans | 1091961 | 10 | 02/05/2019 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See Allegations |