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 |
|---|---|---|---|---|---|---|---|---|
| Leonard Levy | 308295 | 2 | 05/17/1976 | Civil | Final | $0.00 | $0.00 | See Allegations |
| John Roger Engemann | 2145135 | 1 | 10/29/1975 | Civil | Final | $0.00 | $0.00 | See Allegations |
| Eugene Peter Ingargiola | 254902 | 1 | 09/05/1975 | Civil | Final | $0.00 | $0.00 | See Allegations |
| John Benjamin Licata | 309148 | 2 | 03/05/1974 | Civil | Final | $0.00 | $0.00 | See Allegations |
| James Gealey Manor | 1036576 | 1 | 02/01/1974 | Civil | Final | $0.00 | $0.00 | See Allegations |
| Charles Dean Benge | 501000 | 1 | 08/22/1973 | Civil | Final | $0.00 | $0.00 | See Allegations |
| Miles Arthur Bahl | 10092 | 3 | 05/11/1973 | Civil | Final | $0.00 | $0.00 | See Allegations |
| James C Bradford Jr | 28198 | 2 | 11/14/1972 | Civil | Final | $0.00 | $0.00 | See Allegations |
| Joel Lawrence Halpern | 234602 | 11 | 10/13/1972 | Civil | Final | $0.00 | $0.00 | See Allegations |
| Richard Craig Hanseen | 1311754 | 3 | 07/04/1971 | Civil | Final | $0.00 | $0.00 | See Allegations |