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 |
|---|---|---|---|---|---|---|---|---|
| Jacqueline Sarette Georgio | 2966594 | 1 | 03/21/2016 | Customer Dispute | Award / Judgment | $1,000,000.00 | $559,612.00 | See Allegations |
| Paul Samuel Howard | 1031691 | 1 | 03/21/2016 | Customer Dispute | Award / Judgment | $1,000,000.00 | $559,612.00 | See Allegations |
| Ralph E Derose | 721488 | 4 | 03/15/2016 | Customer Dispute | Award / Judgment | $3,000,000.00 | $1,044,780.00 | See Allegations |
| Ramon Manuel Almonte | 1014799 | 247 | 03/11/2016 | Customer Dispute | Award / Judgment | $5,000,000.00 | $0.00 | See Allegations |
| Felix Alberto Bartolomei | 2813477 | 16 | 03/09/2016 | Customer Dispute | Award / Judgment | $400,000.00 | $0.00 | See Allegations |
| Ian M Deliz Morales | 4697350 | 31 | 03/02/2016 | Customer Dispute | Award / Judgment | $5,000,000.00 | $0.00 | See Allegations |
| Labron Manosa Toles | 2676024 | 6 | 03/01/2016 | Customer Dispute | Award / Judgment | $27,574.00 | $0.00 | See Allegations |
| Philip A Dina | 1368917 | 13 | 03/01/2016 | Customer Dispute | Award / Judgment | $27,574.00 | $0.00 | See Allegations |
| Charles Alan Correal | 1366202 | 6 | 02/29/2016 | Customer Dispute | Award / Judgment | $180,000.00 | $110,000.00 | See Allegations |
| Lawrence Robert Yerkees | 1283322 | 1 | 02/23/2016 | Customer Dispute | Award / Judgment | $55,000.00 | $23,650.00 | See Allegations |