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 |
|---|---|---|---|---|---|---|---|---|
| Andre Vincent Labarbera | 2072370 | 10 | 11/26/2018 | Customer Dispute | Award / Judgment | $3,022,520.00 | $0.00 | See Allegations |
| James Hal Heafner | 4837072 | 7 | 11/16/2018 | Customer Dispute | Award / Judgment | $200,000.00 | $0.00 | See Allegations |
| Robert Glenn Kaiser | 2193621 | 2 | 11/11/2018 | Customer Dispute | Award / Judgment | $40,851.40 | $0.00 | See Allegations |
| Daniel Andrew Rosengarten | 6484210 | 1 | 11/11/2018 | Customer Dispute | Award / Judgment | $40,851.40 | $0.00 | See Allegations |
| James Michael Earl | 1234987 | 4 | 11/07/2018 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See Allegations |
| Barry Steven Snyder | 2385901 | 3 | 11/02/2018 | Customer Dispute | Award / Judgment | $4,093,070.00 | $2,554,900.00 | See Allegations |
| Jorge Luis Alfonso | 4728979 | 3 | 11/02/2018 | Customer Dispute | Award / Judgment | $4,093,070.00 | $0.00 | See Allegations |
| Brian M Wurdemann | 4206425 | 12 | 10/31/2018 | Customer Dispute | Award / Judgment | $44,179.50 | $170,000.00 | See Allegations |
| Timothy Nathaniel Mcmullen | 2627239 | 2 | 10/30/2018 | Customer Dispute | Award / Judgment | $45,000.00 | $0.00 | See Allegations |
| David Gerard Specht | 2080953 | 2 | 10/24/2018 | Customer Dispute | Award / Judgment | $61,843.00 | $33,900.00 | See Allegations |