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 |
|---|---|---|---|---|---|---|---|---|
| Michael Jeremiah Mooney | 4037101 | 52 | 12/28/2021 | Customer Dispute | Award / Judgment | $6,989,700.00 | $0.00 | See Allegations |
| Iris Cecelia Israel | 1547363 | 35 | 12/28/2021 | Customer Dispute | Award / Judgment | $6,989,700.00 | $0.00 | See Allegations |
| Christopher Dyer Queen | 2703908 | 2 | 12/07/2021 | Customer Dispute | Award / Judgment | $0.00 | $54,000.00 | See Allegations |
| James Dwight Hiles | 1268480 | 1 | 12/02/2021 | Customer Dispute | Award / Judgment | $150,000.00 | $150,000.00 | See Allegations |
| Seymour Cohen | 2007478 | 5 | 11/23/2021 | Customer Dispute | Award / Judgment | $200,000.00 | $383,158.00 | See Allegations |
| Marc Frederick Korsch | 5525226 | 67 | 11/17/2021 | Customer Dispute | Award / Judgment | $500,000.00 | $63,000.00 | See Allegations |
| John Justin Woods | 1949233 | 59 | 11/10/2021 | Customer Dispute | Award / Judgment | $2,500,000.00 | $0.00 | See Allegations |
| James Wallace Woods | 734272 | 42 | 11/10/2021 | Customer Dispute | Award / Judgment | $2,500,000.00 | $0.00 | See Allegations |
| Michael Jeremiah Mooney | 4037101 | 52 | 11/10/2021 | Customer Dispute | Award / Judgment | $2,500,000.00 | $0.00 | See Allegations |
| Iris Cecelia Israel | 1547363 | 35 | 11/10/2021 | Customer Dispute | Award / Judgment | $2,500,000.00 | $0.00 | See Allegations |