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 Robert Stevens | 2743760 | 2 | 01/22/2016 | Customer Dispute | Award / Judgment | $882,612.00 | $0.00 | See Allegations |
| Charles Caleb Fackrell | 5369665 | 16 | 01/14/2016 | Customer Dispute | Award / Judgment | $1,796,520.00 | $0.00 | See Allegations |
| Robert Kyle Ratcliff | 1888152 | 1 | 01/08/2016 | Customer Dispute | Award / Judgment | $75,000.00 | $117,477.00 | See Allegations |
| Thomas Michael Fross | 4509874 | 4 | 01/06/2016 | Customer Dispute | Award / Judgment | $24,000.00 | $0.00 | See Allegations |
| Thomas Anthony Guerriero | 3116678 | 5 | 12/30/2015 | Customer Dispute | Award / Judgment | $800,000.00 | $0.00 | See Allegations |
| Malcolm Chester Reader | 1009953 | 10 | 12/29/2015 | Customer Dispute | Award / Judgment | $44,325.50 | $0.00 | See Allegations |
| Stephen Ames Mars | 1466193 | 1 | 12/28/2015 | Customer Dispute | Award / Judgment | $6,500,000.00 | $273,256.00 | See Allegations |
| Timothy Francis Leahy | 2434162 | 1 | 12/27/2015 | Customer Dispute | Award / Judgment | $1,200,000.00 | $0.00 | See Allegations |
| Eduardo Beale-cosio | 1032633 | 10 | 12/18/2015 | Customer Dispute | Award / Judgment | $5,000,000.00 | $0.00 | See Allegations |
| David Arthur Allen | 2500427 | 3 | 12/16/2015 | Customer Dispute | Award / Judgment | $148,000.00 | $250,177.00 | See Allegations |