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 |
|---|---|---|---|---|---|---|---|---|
| Jill M Cody | 4333419 | 13 | 08/11/2017 | Customer Dispute | Award / Judgment | $5,000.00 | $286,096.00 | See Allegations |
| Ganesh Iyer | 1782997 | 3 | 08/03/2017 | Customer Dispute | Award / Judgment | $200,000.00 | $54,954.00 | See Allegations |
| Chun Mei Zhu | 4863613 | 3 | 07/31/2017 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See Allegations |
| Samuel Boyce Rankin | 811491 | 7 | 07/28/2017 | Customer Dispute | Award / Judgment | $0.00 | $126,452.00 | See Allegations |
| Richard David Mercado | 2302301 | 7 | 07/27/2017 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See Allegations |
| Ernest Julius Romer | 2311741 | 50 | 07/27/2017 | Customer Dispute | Award / Judgment | $50,000.00 | $50,000.00 | See Allegations |
| Damian Marlon Bell | 2348521 | 15 | 07/17/2017 | Customer Dispute | Award / Judgment | $300,000.00 | $5,054,000.00 | See Allegations |
| Victoria Anne Vandyke | 1359504 | 3 | 07/17/2017 | Customer Dispute | Award / Judgment | $3,229,100.00 | $3,229,100.00 | See Allegations |
| David Warren Mesker | 2102727 | 1 | 07/14/2017 | Customer Dispute | Award / Judgment | $81,533.20 | $85,238.80 | See Allegations |
| Barry Evan Rubin | 2176696 | 3 | 07/10/2017 | Customer Dispute | Award / Judgment | $23,846.00 | $13,264.00 | See Allegations |