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 |
|---|---|---|---|---|---|---|---|---|
| Gary Walter Isler | 1514385 | 5 | 10/30/2015 | Customer Dispute | Award / Judgment | $162,408.00 | $20,179.70 | See Allegations |
| Kyle Patrick Harrington | 2282328 | 13 | 10/26/2015 | Customer Dispute | Award / Judgment | $200,000.00 | $105,000.00 | See Allegations |
| Carlos Miranda | 4782207 | 1 | 10/22/2015 | Customer Dispute | Award / Judgment | $0.00 | $685,579.00 | See Allegations |
| Shannon Kelly Klug | 2451747 | 3 | 10/20/2015 | Customer Dispute | Award / Judgment | $640,000.00 | $0.00 | See Allegations |
| Tim Russell Gerds | 2651778 | 9 | 10/13/2015 | Customer Dispute | Award / Judgment | $17,212.80 | $5,200.00 | See Allegations |
| Donald Allen Kartoon | 264647 | 8 | 10/08/2015 | Customer Dispute | Award / Judgment | $114,142.00 | $4,000.00 | See Allegations |
| Michael Todd Clements | 1702071 | 8 | 10/08/2015 | Customer Dispute | Award / Judgment | $148,877.00 | $0.00 | See Allegations |
| Ramon Manuel Almonte | 1014799 | 247 | 10/06/2015 | Customer Dispute | Award / Judgment | $5,000,000.00 | $0.00 | See Allegations |
| Ronald James Lee | 814314 | 2 | 10/06/2015 | Customer Dispute | Award / Judgment | $208,275.00 | $208,276.00 | See Allegations |
| David J Freeman | 5533595 | 2 | 09/30/2015 | Customer Dispute | Award / Judgment | $38,091.00 | $27,500.00 | See Allegations |