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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Paul Anthony | 1157930 | 5 | 01/11/2017 | Customer Dispute | Award / Judgment | $2,000,000.00 | $50,000.00 | See Allegations |
| Brandon Curt Stimpson | 4299623 | 12 | 01/09/2017 | Customer Dispute | Award / Judgment | $285,000.00 | $287,351.00 | See Allegations |
| Christopher Lee Vazquez | 2682454 | 1 | 01/06/2017 | Customer Dispute | Award / Judgment | $22,823.40 | $0.00 | See Allegations |
| Bill Alfons Holubec | 1304064 | 2 | 01/05/2017 | Customer Dispute | Award / Judgment | $500,000.00 | $0.00 | See Allegations |
| David Wilson Williams | 4178982 | 3 | 12/27/2016 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See Allegations |
| Wilson Henry Williams | 834161 | 7 | 12/27/2016 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See Allegations |
| James William Forsythe | 1038986 | 6 | 12/20/2016 | Customer Dispute | Award / Judgment | $2,000,000.00 | $0.00 | See Allegations |
| Carter Braxton Worth | 1707653 | 1 | 12/20/2016 | Customer Dispute | Award / Judgment | $2,000,000.00 | $0.00 | See Allegations |
| Giang Thanh Tran | 4853018 | 1 | 12/19/2016 | Customer Dispute | Award / Judgment | $6,000.00 | $3,776.00 | See Allegations |
| Christopher Duke Bennett | 2510231 | 17 | 12/10/2016 | Customer Dispute | Award / Judgment | $250,000.00 | $445,000.00 | See Allegations |