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 |
|---|---|---|---|---|---|---|---|---|
| Jason Ryan Oestreicher | 5077320 | 2 | 06/23/2016 | Customer Dispute | Award / Judgment | $8,000.00 | $6,000.00 | See Allegations |
| Robert Joseph Kerrigan | 268516 | 12 | 06/22/2016 | Customer Dispute | Award / Judgment | $270,000.00 | $260,084.00 | See Allegations |
| Michael B Barnett | 5792242 | 4 | 06/22/2016 | Customer Dispute | Award / Judgment | $441,339.00 | $0.00 | See Allegations |
| Anthony Mastroianni | 2151249 | 11 | 06/21/2016 | Customer Dispute | Award / Judgment | $2,000,000.00 | $0.00 | See Allegations |
| Joshua William Patterson | 3077302 | 3 | 06/16/2016 | Customer Dispute | Award / Judgment | $3,256,500.00 | $0.00 | See Allegations |
| Stacey Lee Rognon | 1898975 | 1 | 06/16/2016 | Customer Dispute | Award / Judgment | $3,256,500.00 | $0.00 | See Allegations |
| Jeffrey Adam Miller | 4251936 | 4 | 06/13/2016 | Customer Dispute | Award / Judgment | $0.00 | $209,775.00 | See Allegations |
| Marc Yukio Kozuki | 5185147 | 1 | 06/10/2016 | Customer Dispute | Award / Judgment | $100,000.00 | $0.00 | See Allegations |
| Francine Louise Foerst | 1958697 | 2 | 06/08/2016 | Customer Dispute | Award / Judgment | $32,950.30 | $0.00 | See Allegations |
| Frank Norman Gibson | 220017 | 4 | 06/08/2016 | Customer Dispute | Award / Judgment | $2,741,160.00 | $162,820.00 | See Allegations |