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 |
|---|---|---|---|---|---|---|---|---|
| Mollie Becker Taylor | 5856232 | 1 | 09/05/2018 | Customer Dispute | Award / Judgment | $4,615.00 | $1,644.00 | See Allegations |
| Timothy Thomas Gibbons | 219872 | 4 | 08/22/2018 | Customer Dispute | Award / Judgment | $930,000.00 | $115,474.00 | See Allegations |
| Stacey Dean Andres | 6373652 | 1 | 08/20/2018 | Customer Dispute | Award / Judgment | $100,000.00 | $100,000.00 | See Allegations |
| Pamela Denise Lawson | 1475253 | 4 | 08/16/2018 | Customer Dispute | Award / Judgment | $314,107.00 | $0.00 | See Allegations |
| Lance Jeffrey Ziesemer | 2342087 | 18 | 08/15/2018 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See Allegations |
| Timothy Ryan Grossman | 5047471 | 1 | 08/11/2018 | Customer Dispute | Award / Judgment | $16,704.30 | $8,840.96 | See Allegations |
| Lance Jeffrey Ziesemer | 2342087 | 18 | 08/07/2018 | Customer Dispute | Award / Judgment | $37,309.50 | $0.00 | See Allegations |
| Tracey Schusterman | 1432242 | 3 | 08/06/2018 | Customer Dispute | Award / Judgment | $1,072,780.00 | $199,178.00 | See Allegations |
| Michel Rene Lavelanet | 2832739 | 11 | 08/02/2018 | Customer Dispute | Award / Judgment | $669,000.00 | $0.00 | See Allegations |
| Duane Ray Becker | 5381350 | 2 | 07/31/2018 | Customer Dispute | Award / Judgment | $432,000.00 | $0.00 | See Allegations |