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 |
|---|---|---|---|---|---|---|---|---|
| David Michael Riccio | 1094283 | 8 | 02/06/2018 | Customer Dispute | Award / Judgment | $0.00 | $1,300,000.00 | See Allegations |
| Robert Joseph Kerrigan | 268516 | 12 | 02/02/2018 | Customer Dispute | Award / Judgment | $920,198.00 | $0.00 | See Allegations |
| Rafael Golan | 1074079 | 16 | 01/29/2018 | Customer Dispute | Award / Judgment | $47,000.00 | $136,202.00 | See Allegations |
| Ernest Julius Romer | 2311741 | 50 | 01/17/2018 | Customer Dispute | Award / Judgment | $1,161,330.00 | $0.00 | See Allegations |
| Kevin Gregory Bruce | 4460048 | 1 | 01/03/2018 | Customer Dispute | Award / Judgment | $55,000.00 | $22,071.00 | See Allegations |
| Mark Boyd Reinking | 1602957 | 3 | 12/29/2017 | Customer Dispute | Award / Judgment | $1,935,960.00 | $0.00 | See Allegations |
| Alan Michael Hess | 734166 | 3 | 12/22/2017 | Customer Dispute | Award / Judgment | $310,332.00 | $173,202.00 | See Allegations |
| Laurence Bache Rossbach | 405296 | 4 | 12/21/2017 | Customer Dispute | Award / Judgment | $48,710.90 | $0.00 | See Allegations |
| Heath Shayne Bowen | 4824684 | 8 | 12/18/2017 | Customer Dispute | Award / Judgment | $587,500.00 | $575,000.00 | See Allegations |
| Gary John Basralian | 14385 | 9 | 12/15/2017 | Customer Dispute | Award / Judgment | $0.00 | $2,613,660.00 | See Allegations |