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 |
|---|---|---|---|---|---|---|---|---|
| Frank Julio Carrasco | 2006959 | 2 | 09/24/2015 | Customer Dispute | Award / Judgment | $840,000.00 | $0.00 | See Allegations |
| Amy Elizabeth Elias | 4414763 | 2 | 09/23/2015 | Customer Dispute | Award / Judgment | $35,386.00 | $10,000.00 | See Allegations |
| Kenneth Joseph Eldi | 819963 | 1 | 09/23/2015 | Customer Dispute | Award / Judgment | $35,386.00 | $10,000.00 | See Allegations |
| Jerry Wayne Devins | 864443 | 3 | 09/16/2015 | Customer Dispute | Award / Judgment | $1,000,000.00 | $500,000.00 | See Allegations |
| Bennett Scott Broad | 702460 | 41 | 09/15/2015 | Customer Dispute | Award / Judgment | $150,000.00 | $0.00 | See Allegations |
| Jeffrey David Sustarsic | 3273194 | 1 | 09/04/2015 | Customer Dispute | Award / Judgment | $0.00 | $14,305.80 | See Allegations |
| Alfredo A Collazo | 4513548 | 10 | 08/31/2015 | Customer Dispute | Award / Judgment | $2,411,160.00 | $0.00 | See Allegations |
| Rafael Ricardo Nieto | 2646637 | 1 | 08/26/2015 | Customer Dispute | Award / Judgment | $2,899,090.00 | $0.00 | See Allegations |
| Kyong H Kim | 2510032 | 1 | 08/25/2015 | Customer Dispute | Award / Judgment | $25,791.80 | $0.00 | See Allegations |
| Antony Lee Turbeville | 1721014 | 6 | 08/25/2015 | Customer Dispute | Award / Judgment | $25,791.80 | $0.00 | See Allegations |