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 |
|---|---|---|---|---|---|---|---|---|
| Wesley J Mcgugin | 4807164 | 1 | 07/30/2018 | Customer Dispute | Award / Judgment | $100,000.00 | $0.00 | See Allegations |
| Roger Charles Faubel | 1233851 | 9 | 07/26/2018 | Customer Dispute | Award / Judgment | $18,604.50 | $0.00 | See Allegations |
| Karl Ronald Foust | 1010291 | 4 | 07/17/2018 | Customer Dispute | Award / Judgment | $100,000.00 | $0.00 | See Allegations |
| Thomas Andrew Carroll | 1250196 | 1 | 07/13/2018 | Customer Dispute | Award / Judgment | $395,863.00 | $100,000.00 | See Allegations |
| Scott Alan Sanders | 3063288 | 3 | 07/09/2018 | Customer Dispute | Award / Judgment | $193,281.00 | $0.00 | See Allegations |
| Zachary Colin Armstrong | 6091357 | 1 | 06/29/2018 | Customer Dispute | Award / Judgment | $50,000.00 | $41,957.10 | See Allegations |
| Richard Herbert Westerman | 826562 | 12 | 06/27/2018 | Customer Dispute | Award / Judgment | $330,000.00 | $360,000.00 | See Allegations |
| Haydee M Delgado | 1619094 | 2 | 06/27/2018 | Customer Dispute | Award / Judgment | $295,000.00 | $0.00 | See Allegations |
| Ramiro Luis Colon | 1868710 | 46 | 06/27/2018 | Customer Dispute | Award / Judgment | $295,000.00 | $0.00 | See Allegations |
| Sean Michael Grubb | 4110305 | 4 | 06/27/2018 | Customer Dispute | Award / Judgment | $330,000.00 | $360,000.00 | See Allegations |