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 |
---|---|---|---|---|---|---|---|---|
Charles Sutcliffe Stoll | 704129 | 2 | 08/03/2022 | Customer Dispute | Award / Judgment | $300,000.00 | $245,000.00 | See Allegations |
Michael Barrows | 2933260 | 8 | 08/02/2022 | Customer Dispute | Award / Judgment | $0.00 | $1,035,360.00 | See Allegations |
Eric John Ludovico | 2932082 | 1 | 08/02/2022 | Customer Dispute | Award / Judgment | $0.00 | $1,035,360.00 | See Allegations |
Scott Jay Matalon | 4637378 | 4 | 07/21/2022 | Customer Dispute | Award / Judgment | $5,324,440.00 | $901,542.00 | See Allegations |
Steven Kiyoto Hirata | 1188927 | 4 | 07/19/2022 | Customer Dispute | Award / Judgment | $984,600.00 | $0.00 | See Allegations |
Nathan Marc Cedarleaf | 4341451 | 4 | 07/13/2022 | Customer Dispute | Award / Judgment | $4,000,000.00 | $0.00 | See Allegations |
Austin Richard Dutton | 2739167 | 37 | 07/05/2022 | Customer Dispute | Award / Judgment | $43,644.70 | $0.00 | See Allegations |
Hillard Charles Rest | 858840 | 4 | 06/23/2022 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See Allegations |
Joseph Gordon Nelson | 2180626 | 4 | 06/23/2022 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See Allegations |
Brittani Corren Schaefer | 6327801 | 2 | 06/15/2022 | Customer Dispute | Award / Judgment | $118,723.00 | $0.00 | See Allegations |