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 |
|---|---|---|---|---|---|---|---|---|
| Scott Alan Davis | 3224197 | 1 | 12/08/2022 | Customer Dispute | Award / Judgment | $19,331.00 | $45,000.00 | See Allegations |
| John Patrick Priebe | 4389063 | 5 | 11/30/2022 | Customer Dispute | Award / Judgment | $22,924,500.00 | $0.00 | See Allegations |
| Gregory Avery Ramirez | 2883461 | 6 | 10/18/2022 | Customer Dispute | Award / Judgment | $150,000.00 | $0.00 | See Allegations |
| Thomas Daniel Sullivan | 1162751 | 9 | 10/10/2022 | Customer Dispute | Award / Judgment | $10,900,000.00 | $0.00 | See Allegations |
| John Anthony Orlando | 2002197 | 12 | 10/10/2022 | Customer Dispute | Award / Judgment | $10,900,000.00 | $0.00 | See Allegations |
| Shawn David Bumgardner | 2492380 | 3 | 10/04/2022 | Customer Dispute | Award / Judgment | $500,000.00 | $0.00 | See Allegations |
| David Jeffrey Morris | 2522277 | 8 | 09/13/2022 | Customer Dispute | Award / Judgment | $480,000.00 | $100,000.00 | See Allegations |
| Steven Anthony Busto | 2522780 | 6 | 09/09/2022 | Customer Dispute | Award / Judgment | $83,045.00 | $9,937.50 | See Allegations |
| Eric Andrew Wittenberg | 1552330 | 4 | 08/10/2022 | Customer Dispute | Award / Judgment | $1,154,090.00 | $0.00 | See Allegations |
| David Ray Barnes | 2181896 | 2 | 08/09/2022 | Customer Dispute | Award / Judgment | $3,400,000.00 | $0.00 | See Allegations |