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 Alan Correal | 1366202 | 6 | 04/10/2017 | Customer Dispute | Award / Judgment | $38,426.30 | $7,500.00 | See Allegations |
| Frank Philip Fusco | 1233242 | 6 | 04/10/2017 | Customer Dispute | Award / Judgment | $375,000.00 | $25,000.00 | See Allegations |
| Christian P Garza | 5275816 | 3 | 04/07/2017 | Customer Dispute | Award / Judgment | $3,759,710.00 | $0.00 | See Allegations |
| Ismael Eradio Reyes Retana | 3250007 | 3 | 04/07/2017 | Customer Dispute | Award / Judgment | $3,759,710.00 | $0.00 | See Allegations |
| Yvonne Lara Silguero | 3211495 | 2 | 04/07/2017 | Customer Dispute | Award / Judgment | $3,759,710.00 | $0.00 | See Allegations |
| Enrique Lopez | 2209385 | 5 | 04/07/2017 | Customer Dispute | Award / Judgment | $3,759,710.00 | $0.00 | See Allegations |
| Joseph Bellavia | 2145440 | 6 | 04/06/2017 | Customer Dispute | Award / Judgment | $128,698.00 | $0.00 | See Allegations |
| Douglas D Dinzik | 2262066 | 1 | 04/04/2017 | Customer Dispute | Award / Judgment | $20,000.00 | $0.00 | See Allegations |
| Stephen Anthony Pierce | 2170820 | 2 | 04/03/2017 | Customer Dispute | Award / Judgment | $50,000.00 | $5,054,000.00 | See Allegations |
| Adam Thomas Marquardt | 5307192 | 9 | 03/29/2017 | Customer Dispute | Award / Judgment | $150,000.00 | $0.00 | See Allegations |