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 |
|---|---|---|---|---|---|---|---|---|
| John Victor Smith | 5764683 | 2 | 02/22/2016 | Customer Dispute | Award / Judgment | $1,000,000.00 | $0.00 | See Allegations |
| Terry Lee Bailey | 1935959 | 3 | 02/03/2016 | Customer Dispute | Award / Judgment | $22,665.60 | $2,500.00 | See Allegations |
| Rushton Leigh Ardrey | 1598393 | 12 | 02/02/2016 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See Allegations |
| John Robert Stevens | 2743760 | 2 | 02/02/2016 | Customer Dispute | Award / Judgment | $130,789.00 | $0.00 | See Allegations |
| Barbara Lucille Desiderio | 2080713 | 7 | 01/29/2016 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See Allegations |
| John Scott Matthews | 2082907 | 4 | 01/29/2016 | Customer Dispute | Award / Judgment | $294,316.00 | $0.00 | See Allegations |
| Brian Joseph Hagerman | 2115892 | 5 | 01/29/2016 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See Allegations |
| Brian Joseph Hagerman | 2115892 | 5 | 01/29/2016 | Customer Dispute | Award / Judgment | $294,316.00 | $0.00 | See Allegations |
| Richard Edward Bohack | 2239191 | 3 | 01/29/2016 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See Allegations |
| James Eugene Corona | 2149125 | 1 | 01/25/2016 | Customer Dispute | Award / Judgment | $55,007.00 | $2,250.00 | See Allegations |