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 |
|---|---|---|---|---|---|---|---|---|
| Craig Charles Franzke | 1809526 | 2 | 06/08/2016 | Customer Dispute | Award / Judgment | $723,000.00 | $0.00 | See Allegations |
| Steven Michael Knowlton | 4527446 | 12 | 05/27/2016 | Customer Dispute | Award / Judgment | $144,000.00 | $27,000.00 | See Allegations |
| Philip Orezio Fatta | 1467533 | 16 | 05/25/2016 | Customer Dispute | Award / Judgment | $643,608.00 | $0.00 | See Allegations |
| James Edward Lemonick | 718912 | 3 | 05/24/2016 | Customer Dispute | Award / Judgment | $80,000.00 | $0.00 | See Allegations |
| Anthony Diaz | 4131948 | 62 | 05/06/2016 | Customer Dispute | Award / Judgment | $2,400,000.00 | $0.00 | See Allegations |
| David Lloyd Barber | 1165082 | 10 | 05/06/2016 | Customer Dispute | Award / Judgment | $300,000.00 | $2,186,490.00 | See Allegations |
| Marc Francis Rogers | 1008145 | 6 | 05/05/2016 | Customer Dispute | Award / Judgment | $0.00 | $4,179,120.00 | See Allegations |
| Gregory Jerome Ptasienski Osborn | 1716402 | 5 | 05/04/2016 | Customer Dispute | Award / Judgment | $56,901.00 | $36,667.00 | See Allegations |
| Jeffrey Randolph Wilson | 1161819 | 4 | 05/03/2016 | Customer Dispute | Award / Judgment | $1,000,000.00 | $357,000.00 | See Allegations |
| Anthony Minerva | 2557946 | 6 | 04/28/2016 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See Allegations |