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 |
|---|---|---|---|---|---|---|---|---|
| Doel Rafael Garciaromero | 1301785 | 95 | 06/27/2018 | Customer Dispute | Award / Judgment | $295,000.00 | $0.00 | See Allegations |
| Carlos Verner Ubinas Taylor | 1985568 | 90 | 06/27/2018 | Customer Dispute | Award / Judgment | $295,000.00 | $0.00 | See Allegations |
| Carmen Iok Sim Iao | 2937629 | 1 | 06/24/2018 | Customer Dispute | Award / Judgment | $966.40 | $0.00 | See Allegations |
| Steven Franklin Brandt | 2323730 | 2 | 06/13/2018 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See Allegations |
| Fariba Ronnasi | 4135998 | 6 | 06/11/2018 | Customer Dispute | Award / Judgment | $731,854.00 | $1,103,280.00 | See Allegations |
| Ronald David Calvin | 1155195 | 1 | 06/07/2018 | Customer Dispute | Award / Judgment | $734,619.00 | $0.00 | See Allegations |
| Christopher Charles Sherman | 2233839 | 3 | 06/01/2018 | Customer Dispute | Award / Judgment | $32,550.00 | $0.00 | See Allegations |
| Igor A Zey | 1086097 | 7 | 05/31/2018 | Customer Dispute | Award / Judgment | $0.00 | $87,500.00 | See Allegations |
| Alexander Andreyevich Nikolenko | 3173647 | 2 | 05/31/2018 | Customer Dispute | Award / Judgment | $0.00 | $87,500.00 | See Allegations |
| Anthony Mastroianni | 2151249 | 11 | 05/31/2018 | Customer Dispute | Award / Judgment | $250,000.00 | $0.00 | See Allegations |