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 |
|---|---|---|---|---|---|---|---|---|
| Robert Eugene Berg | 1218879 | 3 | 04/10/2018 | Customer Dispute | Award / Judgment | $19,400.00 | $16,400.00 | See Allegations |
| Kevin Charles Harms | 2204523 | 4 | 04/03/2018 | Customer Dispute | Award / Judgment | $98,365.00 | $44,588.80 | See Allegations |
| David Aaron Andalman | 1579075 | 2 | 03/28/2018 | Customer Dispute | Award / Judgment | $100,000.00 | $53,600.00 | See Allegations |
| Garland Sean James | 2308721 | 27 | 03/28/2018 | Customer Dispute | Award / Judgment | $26,473.00 | $25,000.00 | See Allegations |
| John Stephen Pronovost | 1990612 | 18 | 03/27/2018 | Customer Dispute | Award / Judgment | $41,870.40 | $41,270.40 | See Allegations |
| Michael Lee Canney | 818887 | 3 | 03/16/2018 | Customer Dispute | Award / Judgment | $1,302,230.00 | $454,813.00 | See Allegations |
| Francis John Ciabattoni | 1011428 | 2 | 03/15/2018 | Customer Dispute | Award / Judgment | $1,038,780.00 | $0.00 | See Allegations |
| James Francis Willer | 467367 | 1 | 03/14/2018 | Customer Dispute | Award / Judgment | $667,725.00 | $0.00 | See Allegations |
| Casey Michael Broach | 4731305 | 2 | 03/09/2018 | Customer Dispute | Award / Judgment | $23,950.00 | $23,950.00 | See Allegations |
| David Goddard Dorsett | 4348384 | 1 | 03/05/2018 | Customer Dispute | Award / Judgment | $515,033.00 | $0.00 | See Allegations |