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 |
|---|---|---|---|---|---|---|---|---|
| James Barry Stuart | 1021484 | 7 | 11/01/2017 | Customer Dispute | Award / Judgment | $953,522.00 | $0.00 | See Allegations |
| Gregory Thormann Pease | 2416561 | 11 | 10/31/2017 | Customer Dispute | Award / Judgment | $0.00 | $731,587.00 | See Allegations |
| Gregory Thormann Pease | 2416561 | 11 | 10/05/2017 | Customer Dispute | Award / Judgment | $9,444,740.00 | $0.00 | See Allegations |
| George Mason Rankin | 4015668 | 1 | 09/27/2017 | Customer Dispute | Award / Judgment | $849,221.00 | $126,452.00 | See Allegations |
| Michael Ivan Flynn | 869817 | 5 | 09/25/2017 | Customer Dispute | Award / Judgment | $41,493.00 | $0.00 | See Allegations |
| Christopher Paul Anthony | 1157930 | 5 | 09/20/2017 | Customer Dispute | Award / Judgment | $250,000.00 | $85,000.00 | See Allegations |
| John Thomas Guzy | 232558 | 3 | 09/19/2017 | Customer Dispute | Award / Judgment | $100,000.00 | $0.00 | See Allegations |
| Craig Donaldson Hodges | 1714289 | 2 | 09/18/2017 | Customer Dispute | Award / Judgment | $675,000.00 | $76,000.00 | See Allegations |
| William August Glaser | 1274847 | 7 | 09/11/2017 | Customer Dispute | Award / Judgment | $1,000,000.00 | $0.00 | See Allegations |
| Thomas Michael Landy | 301644 | 3 | 09/07/2017 | Customer Dispute | Award / Judgment | $22,063.00 | $0.00 | See Allegations |