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 |
|---|---|---|---|---|---|---|---|---|
| Lewis Harold Rogers | 402843 | 1 | 11/02/2016 | Customer Dispute | Award / Judgment | $917,000.00 | $0.00 | See Allegations |
| Peter George Neuberg | 2905111 | 3 | 10/27/2016 | Customer Dispute | Award / Judgment | $49,000.00 | $40,500.00 | See Allegations |
| Aaron Christopher Ray | 4613258 | 6 | 10/21/2016 | Customer Dispute | Award / Judgment | $205,519.00 | $0.00 | See Allegations |
| Anthony Thomas Conti | 1447173 | 1 | 10/20/2016 | Customer Dispute | Award / Judgment | $2,200,000.00 | $0.00 | See Allegations |
| Paul Thomas Gabriel | 1286485 | 3 | 10/07/2016 | Customer Dispute | Award / Judgment | $73,722.30 | $70,000.00 | See Allegations |
| Stephen Ray Bowman | 729082 | 1 | 10/06/2016 | Customer Dispute | Award / Judgment | $500,000.00 | $37,170.00 | See Allegations |
| Michael Todd Clements | 1702071 | 8 | 10/05/2016 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See Allegations |
| Richard Marvin Muhlberg | 2242640 | 5 | 10/03/2016 | Customer Dispute | Award / Judgment | $400,000.00 | $17,900.00 | See Allegations |
| Christopher Thomas Tolmacs | 4648724 | 23 | 10/02/2016 | Customer Dispute | Award / Judgment | $1,600,000.00 | $0.00 | See Allegations |
| Gary P Demetri | 1744849 | 3 | 09/23/2016 | Customer Dispute | Award / Judgment | $116,080.00 | $22,108.00 | See Allegations |