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 |
|---|---|---|---|---|---|---|---|---|
| Jerry Allen Cicolani | 2170580 | 5 | 12/16/2015 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See Allegations |
| Justin Berman | 4858475 | 3 | 12/16/2015 | Customer Dispute | Award / Judgment | $474,978.00 | $0.00 | See Allegations |
| Catherine Lang Mewborn | 2894240 | 1 | 12/02/2015 | Customer Dispute | Award / Judgment | $50,000.00 | $5,993.20 | See Allegations |
| Richard Charles Ress | 1585555 | 1 | 12/02/2015 | Customer Dispute | Award / Judgment | $1,660,310.00 | $0.00 | See Allegations |
| Tomer Rabizadeh | 5749099 | 1 | 11/30/2015 | Customer Dispute | Award / Judgment | $250,000.00 | $0.00 | See Allegations |
| Matthew Joseph Waldrop | 4641178 | 1 | 11/25/2015 | Customer Dispute | Award / Judgment | $54,744.40 | $43,993.00 | See Allegations |
| Larry Mack Waldrop | 1696302 | 2 | 11/25/2015 | Customer Dispute | Award / Judgment | $54,744.40 | $43,993.00 | See Allegations |
| Guillermo Santiago | 2120981 | 14 | 11/17/2015 | Customer Dispute | Award / Judgment | $2,250,000.00 | $700,000.00 | See Allegations |
| Patricia S Miller | 2302464 | 4 | 11/05/2015 | Customer Dispute | Award / Judgment | $184,500.00 | $0.00 | See Allegations |
| Martin C Olson | 1673374 | 1 | 11/03/2015 | Customer Dispute | Award / Judgment | $1,500,000.00 | $250,000.00 | See Allegations |