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 |
|---|---|---|---|---|---|---|---|---|
| Raymond Phillip Kvalvog | 1325343 | 4 | 09/19/2016 | Customer Dispute | Award / Judgment | $172,000.00 | $0.00 | See Allegations |
| Patrick F Henry | 1375424 | 2 | 09/19/2016 | Customer Dispute | Award / Judgment | $8,612.50 | $690.00 | See Allegations |
| Christopher Lee Goslin | 1720162 | 23 | 09/16/2016 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See Allegations |
| Rushton Leigh Ardrey | 1598393 | 12 | 09/15/2016 | Customer Dispute | Award / Judgment | $507,000.00 | $0.00 | See Allegations |
| Ilan Nathan Preis | 4905635 | 1 | 09/12/2016 | Customer Dispute | Award / Judgment | $741,000.00 | $0.00 | See Allegations |
| Curtis Dean Milakovich | 5471527 | 4 | 08/31/2016 | Customer Dispute | Award / Judgment | $0.00 | $164,000.00 | See Allegations |
| Robert Ian Siegel | 1627931 | 3 | 08/31/2016 | Customer Dispute | Award / Judgment | $14,482.00 | $14,482.00 | See Allegations |
| Angel Manuel Canabal | 2180310 | 36 | 08/26/2016 | Customer Dispute | Award / Judgment | $5,000,000.00 | $0.00 | See Allegations |
| Stephen Jay Taft | 1927300 | 3 | 08/24/2016 | Customer Dispute | Award / Judgment | $525,973.00 | $0.00 | See Allegations |
| Deborah Marie Hunter | 2049100 | 2 | 08/16/2016 | Customer Dispute | Award / Judgment | $588,872.00 | $0.00 | See Allegations |