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 |
|---|---|---|---|---|---|---|---|---|
| Michael George Ferguson | 2319555 | 1 | 04/26/2016 | Customer Dispute | Award / Judgment | $1,000,000.00 | $100,000.00 | See Allegations |
| Steven Philip Anderson | 1254635 | 1 | 04/25/2016 | Customer Dispute | Award / Judgment | $1,898,870.00 | $128,000.00 | See Allegations |
| Robert Mark Star | 3235830 | 3 | 04/25/2016 | Customer Dispute | Award / Judgment | $499,999.00 | $0.00 | See Allegations |
| Zahir Walji | 5073186 | 2 | 04/21/2016 | Customer Dispute | Award / Judgment | $2,000,000.00 | $0.00 | See Allegations |
| Steven Donald Casto | 3127405 | 3 | 04/12/2016 | Customer Dispute | Award / Judgment | $55,000.00 | $55,000.00 | See Allegations |
| Robert Spencer Cavanagh | 1494481 | 4 | 04/12/2016 | Customer Dispute | Award / Judgment | $1,027,310.00 | $0.00 | See Allegations |
| Donald Gene Dewaay | 1297174 | 30 | 03/30/2016 | Customer Dispute | Award / Judgment | $337,000.00 | $0.00 | See Allegations |
| Donald Gene Dewaay | 1297174 | 30 | 03/24/2016 | Customer Dispute | Award / Judgment | $660,000.00 | $0.00 | See Allegations |
| Andrew Joseph Hall | 1244561 | 2 | 03/21/2016 | Customer Dispute | Award / Judgment | $195,044.00 | $191,772.00 | See Allegations |
| Bryan Kristian Pedersen | 2647617 | 1 | 03/21/2016 | Customer Dispute | Award / Judgment | $1,000,000.00 | $559,612.00 | See Allegations |