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 |
|---|---|---|---|---|---|---|---|---|
| Frank Roland Dietrich | 2506091 | 12 | 12/14/2017 | Customer Dispute | Award / Judgment | $200,000.00 | $0.00 | See Allegations |
| Kenneth David Blumberg | 1585520 | 5 | 12/14/2017 | Customer Dispute | Award / Judgment | $20,000,000.00 | $1,524,180.00 | See Allegations |
| Gary John Basralian | 14385 | 9 | 12/12/2017 | Customer Dispute | Award / Judgment | $4,518,490.00 | $0.00 | See Allegations |
| Timothy Brent Hetrick | 2048466 | 2 | 12/01/2017 | Customer Dispute | Award / Judgment | $97,000.00 | $39,647.00 | See Allegations |
| Michael Anthony Lipscomb | 2286249 | 8 | 11/29/2017 | Customer Dispute | Award / Judgment | $46,006.00 | $0.00 | See Allegations |
| Michael Anthony Lipscomb | 2286249 | 8 | 11/29/2017 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See Allegations |
| Michael Edgar Freeman | 2311151 | 8 | 11/29/2017 | Customer Dispute | Award / Judgment | $64,860.00 | $0.00 | See Allegations |
| Ruben Javier Frezzotti | 4439983 | 8 | 11/21/2017 | Customer Dispute | Award / Judgment | $180,000.00 | $43,827.00 | See Allegations |
| Doel Rafael Garciaromero | 1301785 | 95 | 11/15/2017 | Customer Dispute | Award / Judgment | $6,000,000.00 | $4,881,130.00 | See Allegations |
| James Edward Lyons | 1020397 | 12 | 11/09/2017 | Customer Dispute | Award / Judgment | $5,000,000.00 | $2,986,710.00 | See Allegations |