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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey David Medvedik | 1712203 | 1 | 09/07/2017 | Customer Dispute | Award / Judgment | $77,354.00 | $5,000.00 | See Allegations |
| Nelson Rodriguez Fernandez | 1092772 | 80 | 08/31/2017 | Customer Dispute | Award / Judgment | $7,309,510.00 | $0.00 | See Allegations |
| Martin Allen Stevens | 1804469 | 7 | 08/28/2017 | Customer Dispute | Award / Judgment | $34,719.00 | $13,500.00 | See Allegations |
| Ernest Julius Romer | 2311741 | 50 | 08/25/2017 | Customer Dispute | Award / Judgment | $360,662.00 | $0.00 | See Allegations |
| Ernest Julius Romer | 2311741 | 50 | 08/25/2017 | Customer Dispute | Award / Judgment | $60,000.00 | $50,000.00 | See Allegations |
| Fred Bogar Smith | 427575 | 9 | 08/22/2017 | Customer Dispute | Award / Judgment | $711,647.00 | $344,584.00 | See Allegations |
| Carl Max Birkelbach | 1177843 | 8 | 08/17/2017 | Customer Dispute | Award / Judgment | $8,300,000.00 | $0.00 | See Allegations |
| Nicholas T T Avello | 1488144 | 1 | 08/17/2017 | Customer Dispute | Award / Judgment | $8,300,000.00 | $0.00 | See Allegations |
| Teryl Lee Trenchard | 2869321 | 5 | 08/16/2017 | Customer Dispute | Award / Judgment | $2,767,210.00 | $2,380,660.00 | See Allegations |
| Richard Grant Cody | 2794558 | 35 | 08/11/2017 | Customer Dispute | Award / Judgment | $5,000.00 | $286,096.00 | See Allegations |