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FINRA Broker Allegations

Our Staff has compiled our research into a database of FINRA Broker Allegations.

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Displaying 31-40 out of 8,116 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted Allegations
Charles Sutcliffe Stoll704129208/03/2022Customer DisputeAward / Judgment$300,000.00$245,000.00See Allegations
Michael Barrows2933260808/02/2022Customer DisputeAward / Judgment$0.00$1,035,360.00See Allegations
Eric John Ludovico2932082108/02/2022Customer DisputeAward / Judgment$0.00$1,035,360.00See Allegations
Scott Jay Matalon4637378407/21/2022Customer DisputeAward / Judgment$5,324,440.00$901,542.00See Allegations
Steven Kiyoto Hirata1188927407/19/2022Customer DisputeAward / Judgment$984,600.00$0.00See Allegations
Nathan Marc Cedarleaf4341451407/13/2022Customer DisputeAward / Judgment$4,000,000.00$0.00See Allegations
Austin Richard Dutton27391673707/05/2022Customer DisputeAward / Judgment$43,644.70$0.00See Allegations
Hillard Charles Rest858840406/23/2022Customer DisputeAward / Judgment$0.00$0.00See Allegations
Joseph Gordon Nelson2180626406/23/2022Customer DisputeAward / Judgment$0.00$0.00See Allegations
Brittani Corren Schaefer6327801206/15/2022Customer DisputeAward / Judgment$118,723.00$0.00See Allegations

8,116 Results

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