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 |
|---|---|---|---|---|---|---|---|---|
| David Ross Searcy | 2264199 | 5 | 12/08/2016 | Customer Dispute | Award / Judgment | $0.00 | $83,192.60 | See Allegations |
| Timothy John Prouty | 4928098 | 3 | 11/29/2016 | Customer Dispute | Award / Judgment | $519,089.00 | $0.00 | See Allegations |
| Audie Gean Rea | 1080152 | 3 | 11/28/2016 | Customer Dispute | Award / Judgment | $307,062.00 | $90,000.00 | See Allegations |
| Francesco Puccio | 3204237 | 10 | 11/28/2016 | Customer Dispute | Award / Judgment | $13,228,000.00 | $0.00 | See Allegations |
| William Madison Swayne | 440968 | 10 | 11/25/2016 | Customer Dispute | Award / Judgment | $0.00 | $1,134,910.00 | See Allegations |
| Clyde Mick Jones | 838391 | 6 | 11/18/2016 | Customer Dispute | Award / Judgment | $800,000.00 | $0.00 | See Allegations |
| Robert Lee Hunt | 1354034 | 3 | 11/14/2016 | Customer Dispute | Award / Judgment | $25,000.00 | $17,847.00 | See Allegations |
| Ramon Manuel Almonte | 1014799 | 247 | 11/10/2016 | Customer Dispute | Award / Judgment | $30,088,700.00 | $0.00 | See Allegations |
| Joseph M Haigler | 873385 | 8 | 11/09/2016 | Customer Dispute | Award / Judgment | $3,000,000.00 | $0.00 | See Allegations |
| Gary Russell Burr | 1059883 | 1 | 11/04/2016 | Customer Dispute | Award / Judgment | $0.00 | $27,015.00 | See Allegations |