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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth George Catanella | 43254 | 15 | 04/17/1974 | Customer Dispute | Award / Judgment | $0.00 | $350,000.00 | See Allegations |
| Richard Charles Barrett | 13452 | 2 | 08/06/1973 | Customer Dispute | Award / Judgment | $0.00 | $13,102.20 | See Allegations |
| Paul Ruthfield | 407948 | 1 | 05/01/1972 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See Allegations |
| Jack Dempster Drake | 71664 | 1 | 05/01/1971 | Customer Dispute | Award / Judgment | $26,725.00 | $15,286.50 | See Allegations |
| Arnold Mark Rudiger | 800390 | 4 | 06/01/1944 | Customer Dispute | Award / Judgment | $10,000.00 | $400.00 | See Allegations |
| David Lawrence Difiore | 2201173 | 1 | 01/19/1905 | Customer Dispute | Award / Judgment | $6,357.75 | $4,362.75 | See Allegations |