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 |
|---|---|---|---|---|---|---|---|---|
| Melvin Jack Loeser | 311636 | 3 | 07/14/1978 | Customer Dispute | Award / Judgment | $11,000.00 | $11,902.80 | See Allegations |
| John Farwell Howe | 862291 | 3 | 03/01/1978 | Customer Dispute | Award / Judgment | $0.00 | $3,243.00 | See Allegations |
| Lucian Philip Madda | 1120945 | 3 | 01/01/1978 | Customer Dispute | Award / Judgment | $9,000.00 | $0.00 | See Allegations |
| Joseph Patrick Tota | 448374 | 3 | 10/01/1976 | Customer Dispute | Award / Judgment | $20,000.00 | $8,000.00 | See Allegations |
| Robert Gottdener | 226341 | 1 | 04/15/1976 | Customer Dispute | Award / Judgment | $0.00 | $18,750.00 | See Allegations |
| Maxwell Harrison Bloom | 23931 | 1 | 11/24/1975 | Customer Dispute | Award / Judgment | $475,000.00 | $125,000.00 | See Allegations |
| Pat Westmoreland | 464093 | 1 | 10/29/1975 | Customer Dispute | Award / Judgment | $200,000.00 | $25,000.00 | See Allegations |
| Mark Alan Kasen | 264699 | 2 | 06/01/1975 | Customer Dispute | Award / Judgment | $100,000.00 | $60,000.00 | See Allegations |
| Mark Alan Kasen | 264699 | 2 | 05/01/1974 | Customer Dispute | Award / Judgment | $6,000.00 | $1,500.00 | See Allegations |
| Kenneth George Catanella | 43254 | 15 | 04/17/1974 | Customer Dispute | Award / Judgment | $0.00 | $174,000.00 | See Allegations |