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 Austin King | 2865236 | 7 | 05/18/2017 | Customer Dispute | Award / Judgment | $470,000.00 | $129,133.00 | See Allegations |
| James Austin King | 2865236 | 7 | 05/16/2017 | Customer Dispute | Award / Judgment | $640,000.00 | $550,000.00 | See Allegations |
| James Austin King | 2865236 | 7 | 05/16/2017 | Customer Dispute | Award / Judgment | $600,000.00 | $127,925.00 | See Allegations |
| Jeffrey Michael Johnson | 5522469 | 8 | 05/15/2017 | Customer Dispute | Award / Judgment | $25,000.00 | $25,925.00 | See Allegations |
| William Cranston Fenwick | 1547907 | 4 | 05/08/2017 | Customer Dispute | Award / Judgment | $203,514.00 | $0.00 | See Allegations |
| Damian Marlon Bell | 2348521 | 15 | 05/02/2017 | Customer Dispute | Award / Judgment | $505,000.00 | $5,054,000.00 | See Allegations |
| Stephen Douglas Wood | 1308917 | 7 | 04/27/2017 | Customer Dispute | Award / Judgment | $451,423.00 | $0.00 | See Allegations |
| Kodi Robert Hermann | 3241432 | 2 | 04/18/2017 | Customer Dispute | Award / Judgment | $9,064.03 | $10,889.00 | See Allegations |
| Joshua Gray Scandlen | 3060976 | 1 | 04/14/2017 | Customer Dispute | Award / Judgment | $33,000.00 | $20,000.00 | See Allegations |
| James Francis Leen | 734797 | 3 | 04/13/2017 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See Allegations |