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 |
|---|---|---|---|---|---|---|---|---|
| Robert Winston Petersen | 361239 | 2 | 01/01/1982 | Customer Dispute | Award / Judgment | $56,000.00 | $56,000.00 | See Allegations |
| Kent William Casey | 1128521 | 3 | 01/01/1982 | Customer Dispute | Award / Judgment | $0.00 | $14,394.30 | See Allegations |
| Donald Harold Relyea | 373980 | 2 | 12/17/1981 | Customer Dispute | Award / Judgment | $15,000.00 | $6,690.44 | See Allegations |
| James Robert Nunn | 813949 | 3 | 11/19/1981 | Customer Dispute | Award / Judgment | $36,737.80 | $15,000.00 | See Allegations |
| Brent Willson Berry | 20169 | 3 | 10/12/1981 | Customer Dispute | Award / Judgment | $69,818.60 | $69,818.60 | See Allegations |
| Michael Dennis Wilk | 467054 | 1 | 09/01/1981 | Customer Dispute | Award / Judgment | $50,000.00 | $34,832.40 | See Allegations |
| Richard Charles Barrett | 13452 | 2 | 03/01/1981 | Customer Dispute | Award / Judgment | $20,000.00 | $18,396.50 | See Allegations |
| Theodore Franklin Hoffman | 734127 | 2 | 02/05/1981 | Customer Dispute | Award / Judgment | $12,665.00 | $12,665.50 | See Allegations |
| Gerald Howard Klein | 602023 | 7 | 01/26/1981 | Customer Dispute | Award / Judgment | $71,500.00 | $33,837.50 | See Allegations |
| Louis Estel Barnes | 12871 | 7 | 01/01/1981 | Customer Dispute | Award / Judgment | $2,455.00 | $478.13 | See Allegations |