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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Michael Todd | 1830390 | 22 | 05/11/2022 | Customer Dispute | Award / Judgment | $500,000.00 | $0.00 | See Allegations |
| Philip Pursino | 3212554 | 2 | 05/02/2022 | Customer Dispute | Award / Judgment | $350,000.00 | $200,000.00 | See Allegations |
| Gregory Fockler | 6322542 | 1 | 04/01/2022 | Customer Dispute | Award / Judgment | $5,000.00 | $10,000.00 | See Allegations |
| Jeffrey Dean Mayotte | 729234 | 3 | 03/31/2022 | Customer Dispute | Award / Judgment | $47,053.10 | $0.00 | See Allegations |
| Joseph Anthony Slechta | 2719067 | 1 | 03/14/2022 | Customer Dispute | Award / Judgment | $7,530,290.00 | $0.00 | See Allegations |
| Stephanie J O'hara | 4251796 | 1 | 03/14/2022 | Customer Dispute | Award / Judgment | $0.00 | $1.00 | See Allegations |
| Brad Perry Goldberg | 2328807 | 1 | 03/14/2022 | Customer Dispute | Award / Judgment | $0.00 | $1.00 | See Allegations |
| Karl Zimmerman | 3237257 | 2 | 03/14/2022 | Customer Dispute | Award / Judgment | $0.00 | $1.00 | See Allegations |
| Daniel Todd Lerner | 1255769 | 13 | 02/18/2022 | Customer Dispute | Award / Judgment | $49,999.00 | $23,480.00 | See Allegations |
| Jeffrey Michael Hollander | 1197025 | 1 | 02/17/2022 | Customer Dispute | Award / Judgment | $2,500,000.00 | $200,000.00 | See Allegations |