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 |
|---|---|---|---|---|---|---|---|---|
| Philip Orezio Fatta | 1467533 | 16 | 08/25/2015 | Customer Dispute | Award / Judgment | $25,791.80 | $0.00 | See Allegations |
| Ehab Ahmed Shalaby | 2282347 | 2 | 08/25/2015 | Customer Dispute | Award / Judgment | $25,791.80 | $0.00 | See Allegations |
| Jerome Scott Krause | 1582647 | 3 | 08/21/2015 | Customer Dispute | Award / Judgment | $0.00 | $600,000.00 | See Allegations |
| William Hennion | 2048378 | 3 | 08/20/2015 | Customer Dispute | Award / Judgment | $300,000.00 | $155,935.00 | See Allegations |
| Charles Caleb Fackrell | 5369665 | 16 | 08/18/2015 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See Allegations |
| Lister Eliseo Riveradiez | 860113 | 36 | 08/18/2015 | Customer Dispute | Award / Judgment | $6,600,000.00 | $0.00 | See Allegations |
| Stephen Chester Kiszlowski | 2440000 | 1 | 08/14/2015 | Customer Dispute | Award / Judgment | $1,130,120.00 | $875,000.00 | See Allegations |
| Robert Terry Tractenberg | 1619275 | 6 | 08/10/2015 | Customer Dispute | Award / Judgment | $41,842.00 | $41,842.00 | See Allegations |
| John Thomas Folsom | 864259 | 3 | 08/03/2015 | Customer Dispute | Award / Judgment | $1,500,000.00 | $212,000.00 | See Allegations |
| Matthew Franklin Sweeney | 2749940 | 1 | 08/03/2015 | Customer Dispute | Award / Judgment | $1,500,000.00 | $212,000.00 | See Allegations |