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 |
|---|---|---|---|---|---|---|---|---|
| Barry Phillip West | 826595 | 10 | 01/01/1980 | Customer Dispute | Award / Judgment | $40,870.00 | $20,000.00 | See Allegations |
| Kevin Eugene Wagner | 866514 | 1 | 01/01/1980 | Customer Dispute | Award / Judgment | $0.00 | $200,000.00 | See Allegations |
| Philip Irwin Lewis | 1234516 | 4 | 01/01/1980 | Customer Dispute | Award / Judgment | $6,135.00 | $5,000.00 | See Allegations |
| Robert Jay Becker | 16418 | 9 | 09/22/1979 | Customer Dispute | Award / Judgment | $4,000.00 | $4,000.00 | See Allegations |
| Brian Richard Bennett | 821115 | 7 | 04/23/1979 | Customer Dispute | Award / Judgment | $5,040.00 | $5,040.00 | See Allegations |
| Christopher Gant | 1273707 | 2 | 04/13/1979 | Customer Dispute | Award / Judgment | $19,900.00 | $20,000.00 | See Allegations |
| Anthony Sunwall Rockwell | 402113 | 3 | 04/01/1979 | Customer Dispute | Award / Judgment | $70,493.00 | $70,493.00 | See Allegations |
| Lucian Philip Madda | 1120945 | 3 | 03/01/1979 | Customer Dispute | Award / Judgment | $9,000.00 | $7,500.00 | See Allegations |
| Philip Irwin Lewis | 1234516 | 4 | 01/01/1979 | Customer Dispute | Award / Judgment | $0.00 | $7,331.50 | See Allegations |
| Richard Laurence Sandor | 1011766 | 1 | 12/19/1978 | Customer Dispute | Award / Judgment | $305,259.00 | $118,952.00 | See Allegations |